Susan J. Cochran
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 Jane Cochran, who also goes by Susan Jane Marino, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1992. Susan had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2004 - December 15, 2022
KESTRA INVESTMENT SERVICES, LLC
January 7, 2004 - February 17, 2004
G. A. REPPLE & COMPANY
January 7, 2003 - February 23, 2004
BROOKSTREET SECURITIES CORPORATION
May 28, 1999 - July 5, 2001
CHARLES SCHWAB & CO., INC.
December 5, 1997 - June 17, 1999
MORGAN STANLEY DW INC.
July 25, 1996 - November 10, 1997
ADVEST, INC.
June 23, 1995 - July 9, 1996
MORGAN STANLEY DW INC.
April 7, 1993 - May 12, 1994
SCHRODER & CO. INC.
October 30, 1992 - March 26, 1993
UBS FINANCIAL SERVICES INC.
July 20, 1992 - August 31, 1992
DRAKE & COMPANY, INC.
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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