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Susan Lawther

Raymond James Financial Services, Inc.

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About Susan Lawther

Susan Lawther is a financial advisor with over 23 years of experience in the industry. She is currently registered with Raymond James Financial Services, Inc. and has been with the firm since 2011. Susan is licensed to sell securities in the state of California. Prior to Raymond James Financial Services, Inc., Susan worked with other firms such as Global Hunter Securities, LLC, Oppenheimer & Co. Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, Waterford Financial, Inc., E*OFFERING and Cruttenden Roth Incorporated.

Firm Information

Susan Lawther is currently registered with Raymond James Financial Services, Inc.. Raymond James Financial Services, Inc. is a Corporation that was formed on September 12, 1973. The firm is registered in 53 states and is also registered with the SEC. The firm has been involved in 125 regulatory events and 76 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

568

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Susan Lawther’s Registration & Firm History

CA

09/12/2011 - Present

Raymond James Financial Services, Inc. (Ontario CA)

CA

12/04/2007 - 09/01/2011

GLOBAL HUNTER SECURITIES, LLC (NEWPORT BEACH CA)

CA

10/04/2004 - 12/17/2007

OPPENHEIMER & CO. INC. (NEWPORT BEACH CA)

MO

07/01/2003 - 09/20/2004

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

05/18/2001 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

MN

01/29/2001 - 05/16/2001

WATERFORD FINANCIAL, INC. (MINNEAPOLIS MN)

CA

07/26/1999 - 09/25/2000

E*OFFERING (SAN FRANCISCO CA)

CA

06/23/1998 - 03/17/1999

CRUTTENDEN ROTH INCORPORATED (NEWPORT BEACH CA)

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Licenses & Designations

BC

Issued 01/30/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/29/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Susan Lawther.
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