Susan L. Light
Professional summary
Susan Lois Light, who also goes by Susan Lois Coene, Susan Coene, Susie L Light, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Rochester, New York.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Susan has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Susan Lois Light's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan Lois Light's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 130 Linden Oaks Drive Suite D, Rochester, NY 14625Office #2: 6265 Sheridan Drive Suite 212, Williamsville, NY 14221September 1, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 130 Linden Oaks Drive Suite D, Rochester, NY 14625Office #2: 6265 Sheridan Drive Suite 212, Williamsville, NY 14221October 15, 2021 - September 1, 2023
OSAIC SERVICES, INC.
October 15, 2021 - September 1, 2023
OSAIC SERVICES, INC.
July 5, 2018 - October 6, 2020
LPL FINANCIAL LLC
June 27, 2018 - October 15, 2021
STRATOS WEALTH PARTNERS, LTD
February 5, 2018 - June 29, 2018
THE PATRIOT FINANCIAL GROUP, LLC
March 13, 2017 - October 19, 2021
LPL FINANCIAL LLC
June 6, 2014 - March 14, 2017
MSI FINANCIAL SERVICES, INC.
September 28, 2012 - June 6, 2014
CADARET, GRANT & CO., INC.
October 14, 2009 - September 28, 2012
BRIGHTON SECURITIES CORP.
February 24, 2005 - December 31, 2005
OSAIC FA, INC.
February 16, 2005 - May 1, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 16, 2005 - October 15, 2009
OSAIC FA, INC.
October 11, 2002 - February 22, 2005
EDWARD JONES
December 8, 1999 - November 7, 2002
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/1/2023)
(9/1/2023)
(9/1/2023)
(7/22/2024)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(7/14/2025)
(9/1/2023)
(9/1/2023)
Exams
FINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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
OSAIC WEALTH, INC.
CRD#: 23131Rochester, NY 14625TRUST BUT VERIFY
Monitor Susan Light
Get automatic monthly alerts on: