SW
Susan H. Walker
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CRD#: 5104388
SW
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 Hughey Walker, who also goes by Susan Lynn Hughey, Susan Hughey Walker, Susan Walker, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2006. Susan had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Susan Lynn Hughey | Susan Hughey Walker | Susan Walker
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.
LEADERSHIP JACKSONVILLE ENDOWMENT COMMITTEEPOSITION: CHAIRPERSON OF COMMITTEE NATURE: COMMITTEE MEMBER, CHAIRPERSON OF COMMITTEE INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2012ADDRESS: JACKSONVILLE FLDESCRIPTION: LEADERSHIP JACKSONVILLE DEVELOPS YOUTH AND ADULT LEADERS TO ASSUME GREATER RESPONSIBILITY AS COMMUNITY TRUSTEES WHO IMPROVE THE QUALITY OF LIFE FOR SELF, FAMILY AND COMMUNITY. I*1327248For profit or not for profit: Entity CharitableName of outside business organization: RethreadedInvestment related: NAddress of business: OBA, OBA, OBANature of business: ["Charitable Organization"]Position, title, association: ["Other"], Start date of relationship: 7/3/2023Number of hours devoted: 3 hour(s) MonthlyNumber of hours devoted during trading hours: 2Duties: I would like to join the Sisters Circle for Rethreaded. This entails giving money annually and helping with fund-raising., Rethreaded is an organization that helps women who have escaped the bonds of human trafficking re-enter society. They provide counseling and jobs for these women. I will not be expected to use any of my professional licenses. I would like to join the S I*2229270, Entity Type: , Name of OBA: FBA Women's Leadership Conference Committee, Address: Tallahassee, Florida, 32303, Investment Related: N, Position, Title, Association: ["Committee"], Employee State Date: 01/02/2024, No Hours: 4 Yearly, No Hours during Trading: 4 Yearly, Duties: As a member of the committee we provided feedback to the FBA Leadership on their annual Women's conference agenda/content. We met 2-3 times a year and are expected to attend the conference. I participated in the FBA Trust Executive Committee, a previously approved OBA, until December 2023. I continued to serve in this other FBA committee on a limited capacity and did not think to add it as a separate OBA. The purpose of the Women's Leadership committee is to provide feedback to the FBA leadership on their annual Women's conference. We meet 2-3 times a year and I have previously attended the conference. I retire on 3/31/25 and plan to attend the conference in April as a retiree and at my own expense. This will be my last conference.
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®
NoneExperience
Past
May 22, 2019 - June 10, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PONTE VEDRA BEACH, FL
Past
May 21, 2019 - June 10, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PONTE VEDRA BEACH, FL
Past
January 2, 2018 - April 30, 2019
BB&T SECURITIES, LLC
RIA
CRD#: 142785
JACKSONVILLE, FL
Past
January 2, 2018 - April 30, 2019
BB&T SECURITIES, LLC
BD
CRD#: 142785
JACKSONVILLE, FL
Past
April 21, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
JACKSONVILLE, FL
Past
April 16, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
JACKSONVILLE, FL
Past
October 5, 2006 - June 19, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
JACKSONVILLE, FL
Past
March 21, 2006 - June 19, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
JACKSONVILLE, FL
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".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
