Jean S. Suits

VANGUARD CAPITAL

Irvine, CA 92614

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CRD#: 439468

Professional summary

Jean Sendell Suits JR is a registered financial advisor currently at VANGUARD CAPITAL located in Irvine, California.

Jean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Jean has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Jean Sendell Suits JR'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

November 21, 2016 - Present

VANGUARD CAPITAL

Office #1: 2030 Main Street 13th Floor, Irvine, CA 92614

RIA

CRD#: 285052

Irvine, CA

Past

January 20, 2010 - December 31, 2016

VANGUARD CAPITAL

RIA

CRD#: 22081

IRVINE, CA

Past

January 20, 2010 - December 31, 2016

VANGUARD CAPITAL

CRD#: 22081

IRVINE, CA

Past

June 1, 2009 - February 1, 2010

MORGAN STANLEY

RIA

CRD#: 149777

IRVINE, CA

Past

June 1, 2009 - February 1, 2010

MORGAN STANLEY

CRD#: 149777

IRVINE, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

IRVINE, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

IRVINE, CA

Past

July 26, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

IRVINE, CA

Past

July 6, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

IRVINE, CA

Past

September 24, 1990 - July 7, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 12, 1978 - September 25, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 21, 1973 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

July 22, 1970 - August 31, 1973

MITCHUM, JONES & TEMPLETON INCORPORATED

CRD#: 584

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".

VANGUARD CAPITAL

VANGUARD CAPITAL | VANGUARD CAPITAL WEALTH ADVISORS, LLC

CRD#: 285052 / SEC#: 801-108419

RIA

Registered Investment Advisory firm - (10/27/2016 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.

Highlighted states indicate IAR registrations

IAR

California
(11/21/2016)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/24/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/12/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 8/15/1960

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/13/1977

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 4/12/1971

Registered Principal Examination

Principal/Supervisory Exam

Series 12

Date: 10/14/1968

NYSE Branch Manager Examination

Current Firm

VANGUARD CAPITAL

VANGUARD CAPITAL | VANGUARD CAPITAL WEALTH ADVISORS, LLC

CRD#: 285052 / SEC#: 801-108419

RIA

Registered Investment Advisory firm - (10/27/2016 Approved)

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Contact information

Main Address

999 18 St Suite 3000, Denver, CO 80202

Mailing Address

Phone number

(844) 861-7504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	403
AUM (Assets Under Management)	$ 171,298,998

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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Firm Stability Insights

Jean S. Suits

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jean Sendell Suits JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD CAPITAL

VANGUARD CAPITAL

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

MITCHUM, JONES & TEMPLETON INCORPORATED

Primary Firm SEC Registration

VANGUARD CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1994

Series 63

Date: 6/24/1983

SIE

Date: 12/31/2016

Series 5

Date: 10/12/1981

Series 1

Date: 8/15/1960

Series 4

Date: 9/13/1977

Series 40

Date: 4/12/1971

Series 12

Date: 10/14/1968

Current Firm

VANGUARD CAPITAL

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VANGUARD CAPITAL

TRUST BUT VERIFY

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