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Susan Amy Rizzi

Susan A. Rizzi

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CRD#: 4785209
Susan Amy Rizzi

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 Amy Rizzi, CFP®, who also goes by Susan Rizzi, Susan Amy Sotzing, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 2004. Susan had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 4, 2022 - April 6, 2026

MISSION WEALTH MANAGEMENT, LP

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

BD
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.

BD
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

BD
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".
MW
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)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/3/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/2004
General Securities Representative Examination

Current Firm

MW
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
184

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (3/19/2026)

Regulatory assets under management

Total Number of Accounts16,573
AUM (Assets Under Management)$ 13,912,131,150

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

MISSION WEALTH MANAGEMENT, LP

CRD#: 113057

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