Susan A. Rizzi

MISSION WEALTH MANAGEMENT, LP

GREENSBORO, NC 27410

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CRD#: 4785209

Professional summary

Susan Amy Rizzi, CFP®, who also goes by Susan Rizzi, Susan Amy Sotzing, is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Greensboro, North Carolina.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Susan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Rizzi | Susan Amy Sotzing

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.

1. HORSEPOWER, Inc. Not investment related High Point, NC Therapeutic horseback riding and equine-assisted activities Barn and class volunteer, Board of Directors - Treasurer 1/2022 as barn and class volunteer, 2/2023 as Board Treasurer 11 hours per month 1 hour during securities trading hours per month Help care for horses and barn; . As board treasurer I review monthly financials, report to finance committee and general board quarterly.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Amy Rizzi'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

October 4, 2022 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 3608 W. Friendly Ave. Suite 100, Greensboro, NC 27410

RIA

CRD#: 113057

GREENSBORO, NC

Past

December 14, 2011 - October 5, 2022

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

GREENSBORO, NC

Past

December 14, 2011 - October 5, 2022

CETERA WEALTH SERVICES, LLC

CRD#: 13572

GREENSBORO, NC

Past

July 4, 2008 - December 7, 2011

TRIAD FINANCIAL ADVISORS, INC.

RIA

CRD#: 118583

GREENSBORO, NC

Past

October 20, 2005 - December 5, 2011

OSAIC WEALTH, INC.

CRD#: 23131

GREENSBORO, NC

Past

August 23, 2004 - September 27, 2005

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

HIGH POINT, NC

Past

May 12, 2004 - September 27, 2005

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(10/4/2022)

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 66

Date: 7/3/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/2004

General Securities Representative Examination

Current Firm

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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Contact information

Main Address

1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 882-2360

Established

Firm type

Fiscal year end

# of Employees

145

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	12,456
AUM (Assets Under Management)	$ 10,024,060,630

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 A. Rizzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Amy Rizzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

TRIAD FINANCIAL ADVISORS, INC.

OSAIC WEALTH, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

MISSION WEALTH MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2008

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2004

Current Firm

MISSION WEALTH MANAGEMENT, LP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION WEALTH MANAGEMENT, LP

TRUST BUT VERIFY

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