Susanna E. Mcauliffe
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.
Susanna Elizabeth Mcauliffe, who also goes by Susanna E Finigan, Susanna Elizabeth Finigan, Susanna E Finigen, was a registered financial professional .
Susanna is a previously registered financial professional and started their career in finance in 2008. Susanna had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2024 - January 6, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 16, 2020 - December 15, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 1, 2013 - July 15, 2018
STRATEGIC ADVISERS LLC
March 20, 2013 - January 6, 2025
FIDELITY BROKERAGE SERVICES LLC
March 23, 2011 - September 29, 2011
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
March 23, 2011 - September 29, 2011
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
January 3, 2011 - March 9, 2011
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - March 9, 2011
VOYA FINANCIAL ADVISORS, INC.
June 12, 2009 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
June 12, 2009 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
November 7, 2008 - June 3, 2009
J.P. MORGAN SECURITIES LLC
October 1, 2008 - June 3, 2009
J.P. MORGAN SECURITIES LLC
September 16, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
