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Susan O Finley

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Daytona Beach, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-01-08
FL RA APPROVED 2001-05-23
  • TX RA
    APPROVED_RES
    Since 2009-01-08
  • FL RA
    APPROVED
    Since 2001-05-23

Branch Locations

1616 Concierge Blvd, Daytona Beach, FL 32117 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Melbourne FL 04/2001 Present
  • 04/2001 → Present
    Merrill Lynch
    Melbourne, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-08-31
S65 Uniform Investment Adviser Law Examination 1999-08-31
  • S63 Uniform Securities Agent State Law Examination
    1999-08-31
  • S65 Uniform Investment Adviser Law Examination
    1999-08-31
Other Names
  • Susan Finley

View on SEC IAPD

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Other Offices

CHARTER ADVISORY SERVICES, LLC · DAYTONA BEACH, FL
PRIME CAPITAL FINANCIAL · Daytona Beach, FL
WELLS FARGO CLEARING SERVICES, LLC · DAYTONA BEACH, FL
STIFEL, NICOLAUS & COMPANY, INCORPORATED · DAYTONA BEACH, FL
TRUIST ADVISORY SERVICES, INC. · DAYTONA BEACH, FL
EDWARD JONES · DAYTONA BEACH, FL
BENJAMIN F. EDWARDS & COMPANY, INC. · Daytona Beach, FL
J.P. MORGAN SECURITIES LLC · Daytona Beach, FL

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