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SW

Susan L. Woodard

HIIVE MARKETS LIMITED
VANCOUVER, BC, V6Z 0C8
Some features on this profile are disabled
CRD#: 4225106
SW

Professional summary

Susan Lawson Woodard, who also goes by Susan Rebecca Lawson, is a registered financial professional currently at HIIVE MARKETS LIMITED .

Susan is registered as a RR (Registered Representative) and started their career in finance in 2000. Susan has worked at 17 firms and has passed the Series 66, Series 52TO, SIE, Series 31, Series 7, Series 4, Series 14, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan Rebecca Lawson

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 Lawson Woodard'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

December 11, 2024 - Present

HIIVE MARKETS LIMITED

Office #1: 700 - 980 Howe Street, Vancouver, Bc, V6Z 0C8
BD
CRD#: 316580
VANCOUVER, BC,
Past

August 14, 2024 - December 26, 2024

LINQTO CAPITAL

BD
CRD#: 314557
San Jose, CA
Past

October 14, 2021 - August 14, 2024

EQUITYBEE SECURITIES, LLC

BD
CRD#: 41896
PALO ALTO, CA
Past

August 30, 2019 - October 11, 2021

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
San Francisco, CA
Past

April 18, 2018 - March 22, 2019

EQIS SECURITIES, LLC

BD
CRD#: 20633
San Rafael, CA
Past

August 11, 2016 - April 2, 2018

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
San Francisco, CA
Past

June 2, 2014 - December 23, 2016

RS FUNDS DISTRIBUTOR LLC

BD
CRD#: 165753
SAN FRANCISCO, CA
Past

February 27, 2014 - June 2, 2014

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

January 3, 2012 - January 7, 2014

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA
Past

August 28, 2009 - January 7, 2014

BLACKROCK FUND ADVISORS

RIA
CRD#: 105247
SAN FRANCISCO, CA
Past

June 13, 2008 - December 31, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

BD
CRD#: 146183
SAN FRANCISCO, CA
Past

January 30, 2007 - January 7, 2014

BLACKROCK EXECUTION SERVICES

BD
CRD#: 39438
SAN FRANCISCO, CA
Past

July 24, 2006 - January 5, 2007

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
SAN FRANCISCO, CA
Past

July 9, 2002 - July 17, 2006

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

March 2, 2002 - July 12, 2002

EASTERN POINT ADVISORS INC.

RIA
CRD#: 107123
LYNNFIELD, MA
Past

April 2, 2001 - July 11, 2002

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

August 28, 2000 - February 14, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 28, 2000 - February 14, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
California
(1/6/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/29/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 10/24/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/21/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/16/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/21/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HM
HIIVE MARKETS LIMITED
HIIVE MARKETS LIMITED

CRD#: 316580 / SEC#: , 8-70806

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
700 - 980 Howe Street, Vancouver, Bc, V6Z 0C8
Mailing Address
700 - 980 Howe Street, Vancouver, Bc, V6Z 0C8
Phone number
(604) 200-2405
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE HIIVE COMPANY LIMITEDOWNER
DESAI, SIMREN SUBHASHCEO5578426
MARTIN, JONATHAN CHARLES FORRESTFINOP/PFO/POO7737862
WOODARD, SUSAN LAWSONCCO4225106

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

HIIVE MARKETS LIMITED

CRD#: 316580Vancouver, Bc, V6Z 0C8

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