Suzanne M. Poitras
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 Marie Poitras, who also goes by Suzanne Marie Agocs, Suzanne Poitras Agocs, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1979. Suzanne had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2008 - August 24, 2010
VANGUARD ADVISERS, INC.
April 16, 2008 - November 24, 2015
VANGUARD MARKETING CORPORATION
January 12, 2006 - February 15, 2008
VALIC FINANCIAL ADVISORS, INC.
October 29, 1998 - February 15, 2008
VALIC FINANCIAL ADVISORS, INC.
March 5, 1984 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
August 1, 1980 - March 22, 1984
ADVANTAGE CAPITAL CORPORATION
February 1, 1979 - October 1, 1982
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
Series 1
Date: 1/27/1979
Registered Representative ExaminationCurrent Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
