Suzanne H Cox
Professional Summary
Suzanne H Cox, who also goes by Suzanne Heesue Cox, Suzanne Cox, Heesue Hong, is a registered financial advisor currently at BETTERWEALTH LLC located in San Jose, California. Suzanne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Suzanne has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 2, Series 9, Series 10 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Suzanne Heesue Cox, Suzanne Cox, Heesue Hong
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
BETTERWEALTH LLC
Contact Information
Main Address
1475 Saratoga Avenue Suite 200, San Jose, CA 95129Phone Number
(408) 659-2390# of Employees
6SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,349AUM (Assets Under Management)
$659,944,393Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
BETTERWEALTH LLC
State Registrations and Notice Filings
(9/16/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 2 — Non-Member General Securities Examination
Passed Jan 1993Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2004About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2004About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Suzanne H Cox's CRS (Customer Relationship Summary).
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