Susan N. Lloyd
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan Nell Lloyd, who also goes by Susan Nell Hyman, Susan Hyman, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1993. Susan had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2015 - June 29, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 2015 - June 29, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 2011 - December 31, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
April 5, 2011 - December 31, 2015
ALLSTATE FINANCIAL SERVICES, LLC
May 2, 2009 - March 15, 2011
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - March 15, 2011
CHASE INVESTMENT SERVICES CORP.
February 27, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
February 27, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
October 12, 2006 - February 21, 2007
IFMG SECURITIES, INC.
October 12, 2006 - February 21, 2007
IFMG SECURITIES, INC.
June 1, 2006 - October 5, 2006
CETERA INVESTMENT SERVICES LLC
May 3, 2006 - October 5, 2006
BANCNORTH INVESTMENT GROUP, INC.
February 6, 2006 - May 4, 2006
ESSEX NATIONAL SECURITIES, LLC
May 9, 2005 - May 4, 2006
ESSEX NATIONAL SECURITIES, LLC
May 1, 2002 - May 13, 2005
WAMU INVESTMENTS, INC.
March 19, 2002 - May 1, 2002
DIME SECURITIES, INC.
June 21, 2001 - March 18, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 11, 1993 - June 26, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
