Suzanne G. Mahoney

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CRD#: 703734

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.

Suzanne G Mahoney, who also goes by Suzanne Gavin, Suzanne Gavin Mahoney Mrs., Suzanne Gavin Mahoney, was a registered financial professional .

Suzanne is a previously registered financial professional and started their career in finance in 1980. Suzanne had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Suzanne Gavin | Suzanne Gavin Mahoney Mrs. | Suzanne Gavin Mahoney

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)

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®

None

Experience

Past

July 25, 2017 - September 28, 2017

LCM CAPITAL MANAGEMENT INC

RIA

CRD#: 111074

CHICAGO, IL

Past

July 6, 2017 - March 26, 2018

ARKONIS CAPITAL LLC

CRD#: 147798

WOODBURY, NY

Past

November 5, 2014 - July 29, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

September 29, 2014 - July 29, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

April 7, 2006 - August 29, 2013

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

CRD#: 132038

LAVALLETTE, NJ

Past

January 19, 1980 - April 7, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

LCM CAPITAL MANAGEMENT INC

CRD#: 111074 / SEC#: 801-67893

RIA

Registered Investment Advisory firm - (5/23/2007 Approved)

Illinois

Registered Investment Advisory firm - (5/30/2007 Terminated)

Indiana

Registered Investment Advisory firm - (7/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/4/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/6/2006

General Securities Representative Examination

Current Firm

LCM CAPITAL MANAGEMENT INC

CRD#: 111074 / SEC#: 801-67893

RIA

Registered Investment Advisory firm - (5/23/2007 Approved)

Illinois

Registered Investment Advisory firm - (5/30/2007 Terminated)

Indiana

Registered Investment Advisory firm - (7/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2007 Terminated)

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Contact information

Main Address

209 W. Jackson Boulevard Suite 777, Chicago, IL 60606

Mailing Address

Phone number

(312) 705-3013

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/24/2025)

FORM ADV APPENDIX WRAP BROCHURE (4/24/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 365,277,954

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.

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Advisor Monitoring

Firm Stability Insights

Suzanne G. Mahoney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARKONIS CAPITAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

LCM CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/2014

SIE

Date: 3/26/2018

Series 7

Date: 4/6/2006

Current Firm

LCM CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LCM CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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