• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SUSAN O FINLEY
SUSAN FINLEY
CRD#: 3258810
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1616 CONCIERGE BLVD
DAYTONA BEACH, FL 32117
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2001 - Present (23 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2001 (1 year)
License(s)

State Registrations

B
Alabama 3/5/2010

B
Missouri 1/7/2009

B
Alaska 2/9/2017

B
Nevada 10/4/2010

B
Arizona 1/7/2009

B
New Hampshire 10/4/2010

B
California 1/7/2009

B
New Jersey 1/7/2009

B
Colorado 1/7/2009

B
New York 1/7/2009

B
Connecticut 3/5/2010

B
North Carolina 10/28/2008

B
Delaware 3/5/2010

B
Ohio 1/8/2009

B
District of Columbia 8/15/2022

B
Oregon 3/5/2010

B
Florida 5/23/2001

B
Pennsylvania 1/7/2009

IA
Florida 5/23/2001

B
Rhode Island 8/2/2023

B
Georgia 8/31/2005

B
South Carolina 1/7/2009

B
Illinois 1/7/2009

B
Tennessee 3/5/2010

B
Indiana 1/7/2009

B
Texas 1/7/2009

B
Iowa 4/5/2023

IA
Texas 1/8/2009

B
Kansas 3/5/2010

B
Vermont 3/5/2010

B
Kentucky 1/7/2009

B
Virgin Islands 5/2/2023

B
Louisiana 2/27/2024

B
Virginia 1/7/2009

B
Maryland 1/7/2009

B
Washington 1/7/2009

B
Massachusetts 1/7/2009

B
West Virginia 4/4/2019

B
Michigan 1/7/2009

B
Wisconsin 3/5/2010

B
Minnesota 8/2/2023

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1616 CONCIERGE BLVD, DAYTONA BEACH, FL 32117
Registered with this firm since 5/23/2001

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1616 CONCIERGE BLVD, DAYTONA BEACH, FL 32117
Registered with this firm since 5/23/2001

Previous Registration(s)
th hidden textth hidden textNameLocation
B
08/12/1999 - 04/26/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.