Pedro A. Suazo
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.
Pedro Antonio Suazo IV, who also goes by Pedro Anotonio Suazo, Pedro Antonio Suazo, Peter Anthony Suazo, Peter Suazo, was a registered financial professional .
Pedro is a previously registered financial professional and started their career in finance in 1994. Pedro had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2022 - April 8, 2026
COLLIERS SECURITIES LLC
October 3, 2016 - April 15, 2019
D.A. DAVIDSON & CO.
January 2, 2013 - May 4, 2015
BB&T SECURITIES, LLC
August 12, 2011 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
June 30, 2008 - August 2, 2011
KEEFE, BRUYETTE & WOODS, INC.
May 15, 2007 - March 19, 2008
LEHMAN BROTHERS INC.
December 1, 2005 - May 1, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 21, 2000 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 8, 1997 - August 1, 2000
AVM, L.P.
November 29, 1996 - August 29, 1997
SMBC NIKKO SECURITIES AMERICA, INC.
October 17, 1994 - October 17, 1996
BARCLAYS CAPITAL INC.
Primary Firm SEC Registration
COLLIERS SECURITIES LLC
CRD#: 7477 / SEC#: 801-80233, 8-21937
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
COLLIERS SECURITIES LLC
CRD#: 7477 / SEC#: 801-80233, 8-21937
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLLIERS MORTGAGE HOLDINGS LLC | DIRECT OWNER | |
| HABLE, DEBORAH MARIE | OPERATIONS MANAGER | 1596570 |
| HINIKER, JAMES JOHN III | SVP | 2148843 |
| JACOBSON, JEFFREY DUANE | EVP, CHIEF OPERATING OFFICER & BOARD MEMBER | 1976541 |
| JURAN, DAVID BRAMLEY | CHAIRMAN OF THE BOARD | 2166483 |
| MULLEN, DAVID THOMAS | EVP, BOARD MEMBER | 1273590 |
| NORRIS, ROGER ALLAN | SVP, REGISTERED OPTIONS PRINCIPAL | 2201413 |
| STEICHEN, THOMAS FRANCIS | EVP, CCO & GENERAL COUNSEL, BOARD MEMBER | 6920110 |
| THEIS, CRAIG DANIEL | SVP, BOARD MEMBER | 4365341 |
| VAN HANDEL, REBECCA | CHIEF FINANCIAL OFFICER & FINOP | 7558187 |
Regulatory assets under management
| Total Number of Accounts | 1,016 |
| AUM (Assets Under Management) | $ 280,660,825 |
Disclosures
| Regulatory Event | 25 |
| Arbitration | 10 |
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.
