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SW

Susan J. Worsham

GREEN STREET
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 5777616
SW

Professional summary

Susan Jean Worsham is a registered financial advisor currently at GREEN STREET located in Newport Beach, California.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Susan has worked at 2 firms and has passed the Series 65, SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Susan Jean Worsham's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 18, 2018 - Present

GREEN STREET

Office #1: 100 Bayview Circle Suite 400, Newport Beach, CA 92660
RIA
CRD#: 172378
Newport Beach, CA
Past

June 29, 2012 - January 6, 2020

GREEN STREET TRADING, LLC

BD
CRD#: 28937
NEWPORT BEACH, CA

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(1/18/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/18/2018
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 6/28/2012
Operations Professional Examination

Current Firm

GS
GREEN STREET
GREEN STREET | GREEN STREET RESEARCH, LLC | GREEN STREET ADVISORS, LLC

CRD#: 172378 / SEC#: 801-80137

RIA
Registered Investment Advisory firm - (3/1/2022 Terminated)
California
Registered Investment Advisory firm - (2/28/2022 Approved)
Texas
Registered Investment Advisory firm - (5/16/2022 Conditional Restricted)
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Contact information

Main Address
100 Bayview Circle Suite 400, Newport Beach, CA 92660
Mailing Address
Phone number
(949) 640-8780
Established
Firm type
Fiscal year end
# of Employees
19

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

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

GREEN STREET

CRD#: 172378Newport Beach, CA 92660

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