Susan W. Buikema
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 Westveer Buikema, who also goes by Susan Elaine Westveer, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1981. Susan had worked at 14 firms and has passed the Series 65, Series 63, 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
February 21, 2014 - January 13, 2015
SORRENTO PACIFIC FINANCIAL, LLC
February 21, 2014 - January 13, 2015
SORRENTO PACIFIC FINANCIAL, LLC
August 20, 2013 - February 20, 2014
CITIZENS SECURITIES, INC.
August 20, 2013 - February 20, 2014
CITIZENS SECURITIES, INC.
December 21, 2011 - December 3, 2013
FUHRMAN MANAGEMENT ASSOCIATES, INC.
May 4, 2009 - December 31, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
January 5, 2007 - February 6, 2007
ADVISORS ASSET MANAGEMENT, INC.
September 1, 2005 - December 31, 2005
ADVISORS ASSET MANAGEMENT, INC.
September 1, 2005 - February 6, 2007
ADVISORS ASSET MANAGEMENT, INC.
May 21, 2002 - January 13, 2004
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
June 27, 2001 - January 13, 2004
NYLIFE DISTRIBUTORS LLC
January 1, 1997 - November 2, 2000
BNY MELLON SECURITIES CORPORATION
November 1, 1996 - January 10, 1997
EATON VANCE DISTRIBUTORS, INC.
June 11, 1991 - November 1, 1996
EATON VANCE DISTRIBUTORS, INC.
January 4, 1986 - June 12, 1991
DELAWARE DISTRIBUTORS, L.P.
May 26, 1983 - July 9, 1985
W.H. NEWBOLD'S SON & CO., INC.
October 1, 1981 - March 17, 1983
JANNEY MONTGOMERY SCOTT LLC
April 13, 1981 - September 2, 1981
JII SECURITIES INC.
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
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
