Sue C. Marshall
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.
Sue Carol Marshall was a registered financial professional .
Sue is a previously registered financial professional and started their career in finance in 1982. Sue had worked at 8 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2006 - October 7, 2016
GREAT AMERICAN INVESTORS, INC.
March 10, 2004 - April 25, 2006
ARCHER ALEXANDER SECURITIES CORPORATION
December 20, 2003 - March 11, 2004
NATIONS FINANCIAL GROUP, INC.
March 25, 1999 - December 19, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
February 17, 1999 - March 11, 1999
ARCHER ALEXANDER SECURITIES CORPORATION
November 14, 1990 - February 19, 1999
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 28, 1990 - November 23, 1990
GENERAL SECURITIES CORP
June 19, 1989 - March 17, 1990
BANKERS & INVESTORS CO.
October 17, 1985 - June 9, 1989
INDEPENDENT INVESTORS SERVICES, INC.
March 22, 1982 - October 29, 1985
WADDELL & REED
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
Current Firm
GREAT AMERICAN INVESTORS, INC.
CRD#: 28489 / SEC#: , 8-44380
Contact information
FINRA licenses (22 States and Territories)
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.
