SD
Sue A. Donovan
HOLISTIC WEALTH ADVISORS
CLIFTON PARK, NY 12065
Some features on this profile are disabled
CRD#: 708424
SD
Professional summary
Sue Ann Donovan, who also goes by Sue A Donovan, Sue Ann Gallo, Sue Ann Walker, is a registered financial advisor currently at HOLISTIC WEALTH ADVISORS located in Clifton Park, New York and LPL FINANCIAL LLC located in Clifton Park, New York.
Sue is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Sue has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sue A Donovan | Sue Ann Gallo | Sue Ann Walker
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- 02/12/2018 - Stratos Wealth Partners - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 02/2018 - 160 hr/mth. 2- 02/12/2018 - Holistic Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 02/2018 - 160 hr/mth. 3- 02/21/2018 - Stratos Wealth Partners, LTD. - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 2/2018 - 140 hours per month/ 8 hours during trading - I provide investment advisory services through Stratos Wealth Partners, LTD., an independent investment advisor firm. I started this business activity in 02/2018. I expect to spend approximately 140 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. 4- 02/21/2018 - Holistic Wealth Advisors - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 2/2015 - 160 hours per month/ 8 hours during trading 5- 12/24/2024 - Holistic Wealth Advisors - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 12/18/2024 - 20 hours per month/ during trading - I provide investment advisory services through Holistic Wealth Advisors, an independent investment advisor firm. I started this business activity in 12/2024. I expect to spend approximately 20 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 Sue Ann Donovan'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
December 20, 2024 - Present
HOLISTIC WEALTH ADVISORS
Office #1: 5 Southside Drive Suite 204, Clifton Park, NY 12065RIA
CRD#: 332918
CLIFTON PARK, NY
Current
February 12, 2018 - Present
LPL FINANCIAL LLC
Office #1: 5 Southside Drive, Ste. 204, Clifton Park, NY 12065RIA
BD
CRD#: 6413
Clifton Park, NY
Past
February 13, 2018 - December 23, 2024
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
Clifton Park, NY
Past
June 7, 2002 - February 1, 2018
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
CLIFTON PARK, NY
Past
October 2, 1998 - June 17, 2002
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
April 25, 1986 - October 1, 1998
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
May 13, 1980 - April 28, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
May 13, 1980 - April 30, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
May 13, 1980 - April 30, 1986
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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".
HW
HOLISTIC WEALTH ADVISORS
HOLISTIC WEALTH ADVISORS
CRD#: 332918 / SEC#: 801-131511
RIA
Registered Investment Advisory firm - (11/26/2024 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
RR
Arizona(2/12/2018)
RR
California(2/12/2018)
RR
Connecticut(2/12/2018)
RR
Florida(2/12/2018)
RR
Georgia(9/1/2021)
RR
Indiana(2/12/2018)
RR
Maine(2/12/2018)
RR
Massachusetts(2/12/2018)
RR
New York(2/12/2018)
IAR
New York(12/20/2024)
RR
Vermont(2/12/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/5/1980
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
HW
HOLISTIC WEALTH ADVISORS
HOLISTIC WEALTH ADVISORS
CRD#: 332918 / SEC#: 801-131511
RIA
Registered Investment Advisory firm - (11/26/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5 Southside Drive Suite 204, Clifton Park, NY 12065
Mailing Address
Phone number
(518) 357-3858
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,097 |
| AUM (Assets Under Management) | $ 234,323,910 |
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.
