Susan M. Estes
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 Manning Estes, who also goes by Susan Lynne Estes, Susan Manning Estes-wear, Susan Lynne Manning, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1982. Susan had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 5, Series 24 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
December 6, 2016 - August 6, 2021
OPENDOOR SECURITIES LLC
January 25, 2010 - June 30, 2010
TRADITION SECURITIES AND DERIVATIVES LLC
October 1, 2003 - January 31, 2008
COUNTRYWIDE SECURITIES CORPORATION
November 26, 2002 - October 3, 2003
DEUTSCHE BANK SECURITIES INC.
August 7, 1987 - January 19, 2001
MORGAN STANLEY MARKET PRODUCTS INC.
January 22, 1986 - January 19, 2001
MORGAN STANLEY & CO. LLC
March 2, 1982 - October 11, 1983
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 8
Date: 12/6/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPENDOOR SECURITIES LLC
CRD#: 226581 / SEC#: , 8-69624
Contact information
Documents
Red Flags
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