Susan J. Cobey
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 Joy Cobey, who also goes by Susan Peters Cobey, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1971. Susan had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2014 - November 28, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 11, 2014 - November 28, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - March 25, 2014
MORGAN STANLEY
June 1, 2009 - March 25, 2014
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 1, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
December 7, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
July 26, 1991 - December 11, 1998
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - July 30, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 20, 1973 - June 17, 1974
LOEB RHOADES & CO
May 17, 1972 - March 15, 1973
CIBC WORLD MARKETS CORP.
February 5, 1971 - June 2, 1972
ANDRESEN & CO.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
PC
Date: 5/2/1977
AMEX Put and Call ExamSeries 1
Date: 12/12/1969
Registered Representative ExaminationSeries 8
Date: 9/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
