Susan Bock
Professional summary
Susan Bock, who also goes by Susan Bock Sullivan, is a registered financial advisor currently at SEACREST WEALTH MANAGEMENT, LLC located in Purchase, New York.
Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Susan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 5, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Susan Bock's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2017 - Present
SEACREST WEALTH MANAGEMENT, LLC
Office #1: 3000 Westchester Avenue Suite 206, Purchase, NY 10577February 16, 2017 - December 31, 2022
PURSHE KAPLAN STERLING INVESTMENTS
April 4, 1990 - February 21, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1978 - February 21, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/15/2017)
Exams
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 7/12/1977
AMEX Put and Call ExamCurrent Firm
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 1,561,182,425 |
Red Flags
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