Susan M. Hickey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan Marie Hickey, who also goes by Susan Marie Dale, Susan Marie Lacourt, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2001. Susan had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2017 - May 30, 2018
JOHNSON WEALTH INC.
April 12, 2011 - June 24, 2011
J.P. MORGAN SECURITIES LLC
August 16, 2001 - May 9, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
JOHNSON WEALTH INC.
CRD#: 125557 / SEC#: 801-61862
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JOHNSON WEALTH INC.
CRD#: 125557 / SEC#: 801-61862
Contact information
SEC notice filing (45 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,888 |
| AUM (Assets Under Management) | $ 9,109,318,040 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 10/25/2023 | ||
| 12/21/2022 |
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.
