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RIA / WealthAdvisor40 years in industry

SUELLEN CAROL ESTES

Advisor at GREAT LAKES BAY FINANCIAL

SAGINAW, MI

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Search this name across graphsid dfx:ria:862cf494-973e-bbec-c728-03e30394181d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Nov 4, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: GREAT LAKES BAY FINANCIAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 15, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jan 15, 1986
First registration: Nov 4, 2010
Dual registered: no
Other names: SUELLEN HICKEY|SUELLEN C HICKEYESTES|SUELLEN CAROL HICKEY|SUELLEN CAROL MONTGOMERY|SUELLEN CAROL JAGOW|SUELLEN C ESTES|SVELLEN CAROL HICKEY|SUELLEN CAROL HICKEY-ESTES
IAPD individual key: 1432367

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GREAT LAKES BAY FINANCIAL	State registered	Mar 6, 2026	n/a	yes	SAGINAW, MI	Current employment
GREAT LAKES BAY FINANCIAL	State registered	Feb 22, 2022	Dec 31, 2025	no	SAGINAW, MI	Previous registration
BELPOINTE ASSET MANAGEMENT LLC	Independent wealth	Nov 7, 2018	Mar 16, 2022	no	Saginaw, MI\|RENO, NV\|Saginaw, MI	Previous registration
RICHMARK PRIVATE WEALTH MANAGEMENT	State registered	Jul 3, 2018	Apr 7, 2022	no	FRANKENMUTH, MI	Previous registration
BFC PLANNING, INC.	Bd affiliated wealth	Jan 27, 2014	Jun 8, 2018	no	SAGINAW, MI\|CEDAR RAPIDS, IA	Previous registration
L.M. KOHN & COMPANY	Former SEC adviser	Aug 16, 2012	Jan 24, 2014	no	SAGINAW, MI\|CINCINNATI, OH	Previous registration
LEONARD AND COMPANY	Former SEC adviser	Nov 4, 2010	Jul 18, 2012	no	SAGINAW, MI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RICHMARK PRIVATE WEALTH MANAGEMENT	BELPOINTE ASSET MANAGEMENT LLC	Apr 7, 2022	Nov 7, 2018	-1,247	Firm change after gap	Other
BELPOINTE ASSET MANAGEMENT LLC	GREAT LAKES BAY FINANCIAL	Mar 16, 2022	Feb 22, 2022	-22	Firm change	RIA to state RIA
BFC PLANNING, INC.	RICHMARK PRIVATE WEALTH MANAGEMENT	Jun 8, 2018	Jul 3, 2018	25	Firm change	Ibd to state RIA
L.M. KOHN & COMPANY	BFC PLANNING, INC.	Jan 24, 2014	Jan 27, 2014	3	Firm change	Other
LEONARD AND COMPANY	L.M. KOHN & COMPANY	Jul 18, 2012	Aug 16, 2012	29	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
290854:143440:MI:2022-04-07	Apr 7, 2022	Nov 7, 2018	FRANKENMUTH, MI	Firm change after gap
143440:297138:MI:2022-03-16	Mar 16, 2022	Feb 22, 2022	SAGINAW, MI	Firm change

Relationships

Registered with (6)

→ GREAT LAKES BAY FINANCIALRegistered adviserregistration: previous registration
Feb 22, 2022 to Dec 31, 2025factForm ADV
→ RICHMARK PRIVATE WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 3, 2018 to Apr 7, 2022factForm ADV
→ BELPOINTE ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 7, 2018 to Mar 16, 2022factForm ADV
→ BFC PLANNING, INC.Registered adviserregistration: previous registration
Jan 27, 2014 to Jun 8, 2018factForm ADV
→ L.M. KOHN & COMPANYRegistered adviserregistration: previous registration
Aug 16, 2012 to Jan 24, 2014factForm ADV
→ LEONARD AND COMPANYRegistered adviserregistration: previous registration
Nov 4, 2010 to Jul 18, 2012factForm ADV

Dated events

Occurred
Apr 7, 2022
Advisor changed firm
Suellen Carol Estes left Richmark Private Wealth Management for Belpointe Asset Management Llc (registered 2018-11-07)
Form ADVobserved 5 days ago
Occurred
Mar 16, 2022
Advisor changed firm
Suellen Carol Estes left Belpointe Asset Management Llc for Great Lakes Bay Financial (registered 2022-02-22)
Form ADVobserved 5 days ago