Susan R. Pease
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan Renee Pease, who also goes by Susan Skouby, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1983. Susan had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2014 - September 28, 2016
MULTI-BANK SECURITIES, INC.
October 19, 2010 - March 5, 2013
WEDBUSH SECURITIES INC.
January 13, 2010 - June 4, 2010
FINACORP SECURITIES
March 2, 1998 - May 16, 2008
RBC CAPITAL MARKETS, LLC
September 28, 1987 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 24, 1986 - October 7, 1987
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 26, 1983 - December 5, 1985
PIPER SANDLER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/28/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
