Suzette Tejeda
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.
Suzette Tejeda, who also goes by Suzette Herrin Diebra, Michele Suzette Herrin, Suzette H Tejeda, Suzette H. Tejeda, Suzette Herrin Tejeda, was a registered financial professional .
Suzette is a previously registered financial professional and started their career in finance in 1997. Suzette had worked at 10 firms and has passed the Series 66, 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
April 8, 2019 - June 4, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 2019 - June 4, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 2016 - March 29, 2019
SOVEREIGN WEALTH ADVISORS LLC
June 24, 2016 - May 3, 2019
LPL FINANCIAL LLC
January 27, 2014 - June 27, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
January 24, 2014 - June 27, 2016
BBVA SECURITIES INC.
November 8, 2010 - January 15, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 23, 2010 - January 15, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 13, 2007 - May 21, 2010
RBC CAPITAL MARKETS, LLC
May 25, 2006 - July 11, 2007
HILLTOP SECURITIES INC.
October 22, 2002 - June 11, 2004
CITIGROUP GLOBAL MARKETS INC.
June 29, 2000 - April 23, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 1998 - July 26, 2000
UNITED AMERICAN INTERNATIONAL, INC.
February 19, 1997 - March 9, 1998
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 |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
