Suzanne Lee Regan

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2015 → 07/2017
  Unemployed
  Somerville, MA
• 07/2017 → 03/2020
  Ameriprise Financial Services, Inc.
  Winchester, MA
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Winchester, MA

Previous Registrations

• 2012-02-27 → 2015-08-26
  Morgan Stanley
  Boston, MA
• 2007-05-08 → 2012-02-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boston, MA
  Pennington, NJ
  Boston, MA
  Boston, MA
  New York, NY
• 2005-08-02 → 2007-04-12
  Ubs Financial Services Inc.
  Northbrook, IL
  Weehawken, NJ

Other Businesses

Board of Directors; Norwich Baseball Association; none; 40 Sundback Lane, , Norwich, VT, 05055; Not Investment-Related; 05/31/2024; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Watermelon Bay LLC; employee; Manage advisory business; 48 Mt. Vernon St, Suite 301, Winchester, MA, 01890; Investment-Related; 01/01/2024; 20 to 39 hours per month; 20 to 39 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2005-06-20

Designations

• Certified Financial Planner

Other Names

• Suzanne Lee Ficaro
• Suzanne L Regan