Susan C. Pollick

MSH CAPITAL ADVISORS LLC

Scottsdale, AZ 85255-7153

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CRD#: 4043966

Professional summary

Susan Cherry Pollick, who also goes by Susan Kay Cherry, Susan Cherry Smith, is a registered financial advisor currently at MSH CAPITAL ADVISORS LLC located in Scottsdale, Arizona and M. S. HOWELLS & CO. located in Scottsdale, Arizona.

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 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Kay Cherry | Susan Cherry Smith

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.

JAN 2023; MSHCA DBA CANDOR WELATH ADVISORS LLC, SCOTTSDALE; INVESTMENT RELATED MARKETING NAME USED FOR MSHCA; RELATIONSHIP MANAGER; DEVOTE 80 HRS/MONTH DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Cherry Pollick'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

January 11, 2023 - Present

MSH CAPITAL ADVISORS LLC

Office #1: 23350 N Pima Road, Scottsdale, AZ 85255-7153

RIA

CRD#: 157835

Scottsdale, AZ

Current

January 3, 2023 - Present

M. S. HOWELLS & CO.

Office #1: 23350 N. Pima Rd., Scottsdale, AZ 85255

CRD#: 104100

Scottsdale, AZ

Past

November 13, 2014 - November 9, 2021

UMB FINANCIAL SERVICES, INC.

RIA

CRD#: 17073

Scottsdale, AZ

Past

July 12, 2013 - November 9, 2021

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

Scottsdale, AZ

Past

February 1, 2013 - April 9, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

SCOTTSDALE, AZ

Past

March 12, 2009 - May 31, 2011

BERRY-SHINO SECURITIES, INC.

CRD#: 38098

SCOTTSDALE, AZ

Past

December 6, 2006 - April 19, 2007

BERRY-SHINO SECURITIES, INC.

CRD#: 38098

SCOTTSDALE, AZ

Past

August 20, 2002 - February 18, 2005

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

June 18, 2002 - August 22, 2002

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

November 22, 1999 - May 22, 2002

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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".

MSH CAPITAL ADVISORS LLC

CRD#: 157835 / SEC#: 801-108933

RIA

Registered Investment Advisory firm - (1/13/2017 Approved)

Arizona

Registered Investment Advisory firm - (2/27/2018 Terminated)

California

Registered Investment Advisory firm - (3/29/2018 Terminated)

Maryland

Registered Investment Advisory firm - (1/12/2017 Terminated)

New York

Registered Investment Advisory firm - (2/27/2018 Terminated)

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).

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

Arizona
(1/6/2023)

IAR

Arizona
(1/12/2023)

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: 10/27/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/3/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/19/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MSH CAPITAL ADVISORS LLC

CRD#: 157835 / SEC#: 801-108933

RIA

Registered Investment Advisory firm - (1/13/2017 Approved)

Arizona

Registered Investment Advisory firm - (2/27/2018 Terminated)

California

Registered Investment Advisory firm - (3/29/2018 Terminated)

Maryland

Registered Investment Advisory firm - (1/12/2017 Terminated)

New York

Registered Investment Advisory firm - (2/27/2018 Terminated)

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Contact information

Main Address

23350 N Pima Road, Scottsdale, AZ 85255-7153

Mailing Address

Phone number

(480) 563-2021

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MSH CAPITAL ADVISORS LLC DISCLOSURE BROCHURE APRIL 2025 (4/23/2025)

MSH CAPITAL ADVISORS LLC WRAP FEE BROCHURE APRIL 2025 (4/23/2025)

Regulatory assets under management

Total Number of Accounts	2,077
AUM (Assets Under Management)	$ 1,094,329,678

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 C. Pollick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Cherry Pollick's CRS (Customer Relationship Summary).

Certified licenses

Experience

M. S. HOWELLS & CO.

UMB FINANCIAL SERVICES, INC.

UMB FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

BERRY-SHINO SECURITIES, INC.

BERRY-SHINO SECURITIES, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

WELLS FARGO INVESTMENTS, LLC

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

MSH CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2014

Series 63

Date: 11/22/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/3/2002

Series 6

Date: 11/19/1999

FINRA

Current Firm

MSH CAPITAL ADVISORS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MSH CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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