Susan D. Mccormick

FINGERLAKES WEALTH MANAGEMENT

Ithaca, NY 14850

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CRD#: 3074871

Professional summary

Susan Devitt Mccormick, who also goes by Susan Scott, is a registered financial advisor currently at FINGERLAKES WEALTH MANAGEMENT, INC. located in Ithaca, New York and FORTUNE FINANCIAL SERVICES, INC. located in Ithaca, New York.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Susan has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Scott

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.

RIA:FINGERLAKES WEALTH MANAGEMENT,144 HRS/MONTH,144 HRS DURING TRADING HOURS,W2 INCOME, 98% OWNERSHIP.LOCATED IN ITHICA, NY. RENTAL INCOME AURORA ITHACA LLC rental property ITHACA SOUTH LLC rental property

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Devitt Mccormick's CRS (Customer Relationship Summary).

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

March 21, 2017 - Present

FINGERLAKES WEALTH MANAGEMENT, INC.

Office #1: 450 North Aurora Street, Ithaca, NY 14850

RIA

CRD#: 149709

Ithaca, NY

Current

July 29, 2009 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 450 North Aurora Street, Ithaca, NY 14850

CRD#: 42150

Ithaca, NY

Past

May 29, 2006 - May 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ITHACA, NY

Past

March 10, 2006 - May 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ITHACA, NY

Past

November 4, 1998 - March 15, 2006

EDWARD JONES

CRD#: 250

ITHACA, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FINGERLAKES WEALTH MANAGEMENT, INC.

FINGERLAKES WEALTH MANAGEMENT, INC. | FIREFLY ADVISOR | FINGERLAKES WEALTH MANAGEMENT, LLC.

CRD#: 149709 / SEC#: 801-69987

RIA

Registered Investment Advisory firm - (3/31/2009 Approved)

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.

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

Florida
(7/29/2009)

New York
(7/29/2009)

IAR

New York
(3/29/2021)

North Carolina
(1/3/2024)

South Carolina
(11/20/2014)

IAR

Texas
(3/21/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/26/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/5/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/3/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FINGERLAKES WEALTH MANAGEMENT, INC.

FINGERLAKES WEALTH MANAGEMENT, INC. | FIREFLY ADVISOR | FINGERLAKES WEALTH MANAGEMENT, LLC.

CRD#: 149709 / SEC#: 801-69987

RIA

Registered Investment Advisory firm - (3/31/2009 Approved)

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Contact information

Main Address

450 North Aurora Street, Ithaca, NY 14850

Mailing Address

Phone number

(607) 257-1008

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,289
AUM (Assets Under Management)	$ 231,588,720

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

Susan D. Mccormick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Devitt Mccormick's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

Primary Firm SEC Registration

FINGERLAKES WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2006

Series 63

Date: 11/20/1998

SIE

Date: 10/1/2018

Series 31

Date: 1/5/2009

Series 7

Date: 11/3/1998

FINRA

Current Firm

FINGERLAKES WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINGERLAKES WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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