Susan H. Perez
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 Hilary Ozawa Perez, who also goes by Susan Hilary Ozawa, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2014. Susan had worked at 3 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2021 - August 22, 2022
IMPACT INVESTORS
March 23, 2019 - March 8, 2021
HARRINGTON INVESTMENTS, INC.
August 15, 2014 - May 2, 2016
PROTECTED INVESTORS OF AMERICA
May 20, 2014 - May 2, 2016
PROTECTED INVESTORS OF AMERICA
Primary Firm SEC Registration
IMPACT INVESTORS
CRD#: 289028 / SEC#: 801-118267
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
IMPACT INVESTORS
CRD#: 289028 / SEC#: 801-118267
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 770 |
| AUM (Assets Under Management) | $ 282,957,322 |
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.
