Marc H. Sussman
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.
Marc Howard Sussman was a registered financial advisor .
Marc is a previously registered financial advisor and started their career in finance in 1982. Marc had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2009 - February 20, 2013
ASSET & FINANCIAL PLANNING, LTD
February 12, 2009 - February 20, 2013
PRIME CAPITAL SERVICES, INC.
August 28, 2007 - February 12, 2009
FINANCIAL WEST GROUP
April 2, 2007 - February 12, 2009
FINANCIAL WEST GROUP
July 17, 2002 - April 24, 2007
ASSET & FINANCIAL PLANNING, LTD
August 5, 1994 - April 24, 2007
PRIME CAPITAL SERVICES, INC.
August 16, 1993 - August 13, 1994
STUART, COLEMAN & CO., INC.
April 6, 1993 - August 24, 1993
FIDELITY BROKERAGE SERVICES LLC
November 11, 1992 - March 26, 1993
LPL FINANCIAL LLC
August 16, 1990 - November 18, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 1989 - August 23, 1990
ROBERT THOMAS SECURITIES, INC
February 15, 1988 - August 21, 1989
LEHMAN BROTHERS INC.
September 22, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
February 19, 1986 - August 26, 1986
RADFORD CAPITAL CORPORATION
May 29, 1985 - September 9, 1986
NATHAN & LEWIS SECURITIES, INC.
January 31, 1985 - August 7, 1985
RADFORD CAPITAL CORPORATION
November 15, 1982 - February 12, 1985
SIGNATOR INVESTORS, 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
ASSET & FINANCIAL PLANNING, LTD
CRD#: 110709 / SEC#: 801-20784
Contact information
Red Flags
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