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SG

Susan M. Gabay

HOULIHAN LOKEY CAPITAL
Mclean, VA 22102
Some features on this profile are disabled
CRD#: 2989973
SG

Professional summary

Susan Miller Gabay, who also goes by Susan E. Miller, Susan Elizabeth Miller, Susan Elizabeth Miller, is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in Mclean, Virginia.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1998. Susan has worked at 6 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan E. Miller | Susan Elizabeth Miller | Susan Elizabeth Miller

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) - BD

Click below to view Susan Miller Gabay'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 8, 2018 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 1800 Tysons Blvd. Suite 300, Mclean, VA 22102
BD
CRD#: 17708
Mclean, VA
Past

May 7, 2010 - July 10, 2018

BLUESTONE CAPITAL PARTNERS, LLC

BD
CRD#: 151996
MCLEAN, VA
Past

March 28, 2006 - June 25, 2009

SCOTT & STRINGFELLOW, LLC

RIA
CRD#: 6255
RESTON, VA
Past

February 28, 2005 - June 25, 2009

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RESTON, VA
Past

July 22, 2003 - March 1, 2005

WINDSOR GROUP, LLC

BD
CRD#: 126259
RESTON, VA
Past

January 5, 2001 - July 11, 2003

WGS CAPITAL, LLC

BD
CRD#: 35144
SOUTHPORT, CT
Past

September 16, 1998 - July 18, 2000

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Virginia
(7/13/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/27/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/24/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 12/29/2009
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/5/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HL
HOULIHAN LOKEY CAPITAL, INC.
HLHZ CAPITAL, A CALIFORNIA LIMITED PARTNERSHIP | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, L.P. | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Mailing Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Phone number
(310) 553-8871
Established
California since 01/09/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLCDIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPHPRESIDENT/CEO AND DIRECTOR (HLI)2147111
ALLEY, JAMES LINDSEYTREASURER/CHIEF FINANCIAL OFFICER (HLI)2394515
BEISER, SCOTT LEEVICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)2026185
BEN-CANAAN, MARC AVICCO/AMLCO4885345
CRAIN, CHRISTOPHER MADISONSECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEALCHIEF FINANCIAL OFFICER, FINOP4632869
YAMARONE, CHARLES ANTHONY IIICHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI2190400

Disclosures

Regulatory Event2

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.

Company Information

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708Mclean, VA 22102

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