Susan E. Picardi
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 Elizabeth Picardi, who also goes by Sue Elizabeth Lake, Susan Elizabeth Lake, Sue Elizabeth Picardi, Susan Elisabeth Picardi, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2004. Susan had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2010 - January 11, 2022
J. W. COLE ADVISORS, INC.
October 19, 2010 - December 26, 2019
J.W. COLE FINANCIAL, INC.
September 5, 2008 - October 20, 2010
MONEY CONCEPTS CAPITAL CORP
July 22, 2008 - October 20, 2010
MONEY CONCEPTS CAPITAL CORP
July 21, 2004 - July 15, 2008
WORLD GROUP SECURITIES, INC.
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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.
