SD
Susan M. Davies
PARADIGM WEALTH ADVISORY LLC
Avon, CT 06001
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CRD#: 6085075
SD
Professional summary
Susan M Davies, who also goes by Susan Mcneely Davies, is a registered financial advisor currently at PARADIGM WEALTH ADVISORY LLC located in Avon, Connecticut and LPL FINANCIAL LLC located in Avon, Connecticut.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Susan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Mcneely Davies
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.
1) 08/13/2024 - Paradigm Wealth Advisory, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 08/2024 2) 08/13/2024 - Notary - Inv Rel - State of CT - Start: 11/2012 - 1 Hr/Mth 3) 09/24/2024 - Paradigm Wealth Advisory, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported business Location(s) - Start Date 08/09/2024 - 160 Hours Per Month/ 7 Hours During Trading - I provide investment advisory services through Paradigm Wealth Advisory LLC, an independent investment advisor firm. I started this business activity in 9/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Susan M Davies's 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®
NoneExperience
Current
November 29, 2023 - Present
PARADIGM WEALTH ADVISORY LLC
Office #1: 30 Tower Lane Suite 130, Avon, CT 06001RIA
CRD#: 283120
Avon, CT
Current
September 9, 2024 - Present
LPL FINANCIAL LLC
Office #1: 30 Tower Lane, Avon, CT 06001RIA
BD
CRD#: 6413
Avon, CT
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".
PW
PARADIGM WEALTH ADVISORY LLC
PARADIGM WEALTH ADVISORY LLC | PW ADVISORS
CRD#: 283120 / SEC#: 801-107403
RIA
Registered Investment Advisory firm - (3/23/2016 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Connecticut(11/29/2023)
RR
Connecticut(11/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/9/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PARADIGM WEALTH ADVISORY LLC
PARADIGM WEALTH ADVISORY LLC | PW ADVISORS
CRD#: 283120 / SEC#: 801-107403
RIA
Registered Investment Advisory firm - (3/23/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1140 Highway 22 East Suite 105, Bridgewater, NJ 08807
Mailing Address
Phone number
(908) 450-7402
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,521 |
| AUM (Assets Under Management) | $ 468,284,162 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
