Suzanne F. Bottoms

FIREBRAND WEALTH MANAGEMENT

New York, NY

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CRD#: 2965299

Professional summary

Suzanne Floy Bottoms is a registered financial advisor currently at FIREBRAND WEALTH MANAGEMENT, LLC located in New York, New York.

Suzanne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Suzanne has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Suzanne Floy Bottoms's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 13, 2022 - Present

FIREBRAND WEALTH MANAGEMENT, LLC

RIA

CRD#: 292154

New York, NY

Past

November 2, 2018 - October 27, 2020

OSAIC WEALTH, INC.

CRD#: 23131

TYSONS CORNER, VA

Past

December 7, 2017 - December 2, 2020

SEIA

RIA

CRD#: 108163

Tysons Corner, VA

Past

May 15, 2017 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

LOS ANGELES, CA

Past

September 4, 2002 - October 29, 2003

FAMILY MANAGEMENT SECURITIES, LLC

CRD#: 44319

NEW YORK, NY

Past

January 16, 2001 - February 22, 2002

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

September 20, 2000 - January 23, 2001

FINANCIAL ASSETS CORPORATION

CRD#: 13777

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/13/2022)

IAR

New York
(4/1/2024)

IAR

Washington
(11/14/2022)

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

State Security Law Exam

IAR

Series 66

Date: 12/7/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/8/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/27/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/15/2017

General Securities Representative Examination

Current Firm

FIREBRAND WEALTH MANAGEMENT, LLC

FIREBRAND WEALTH MANAGEMENT | FIREBRAND WEALTH MANAGEMENT, LLC

CRD#: 292154 / SEC#:

California

Registered Investment Advisory firm - (4/13/2020 Approved)

New Jersey

Registered Investment Advisory firm - (9/26/2024 Approved)

New York

Registered Investment Advisory firm - (4/1/2024 Approved)

Texas

Registered Investment Advisory firm - (7/10/2018 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (1/9/2025 Terminated)

Washington

Registered Investment Advisory firm - (4/17/2018 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

8201 164th Ave Ne Suite 238, Redmond, WA 98052

Mailing Address

200 E 16th St #13g, New York, NY 10003

Phone number

(206) 485-4000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	76
AUM (Assets Under Management)	$ 56,252,696

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.

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Advisor Monitoring

Firm Stability Insights

Suzanne F. Bottoms

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Suzanne Floy Bottoms's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIREBRAND WEALTH MANAGEMENT, LLC

OSAIC WEALTH, INC.

SEIA

SIGNATOR INVESTORS, INC.

FAMILY MANAGEMENT SECURITIES, LLC

NEUBERGER BERMAN BD LLC

FINANCIAL ASSETS CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 12/7/2017

Series 63

Date: 1/8/2001

Series 7TO

Date: 3/27/2024

SIE

Date: 10/1/2018

Series 7

Date: 5/15/2017

Current Firm

FIREBRAND WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIREBRAND WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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