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Susan M. Holgate

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CRD#: 1108841
SH

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 Mary Holgate was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 1984. Susan had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 5, 2016 - December 7, 2018

CV BROKERAGE, INC

BD
CRD#: 462
WILLIAMSTOWN, NJ
Past

September 30, 2015 - January 5, 2016

V2V SECURITIES LLC

BD
CRD#: 131849
New York, NY
Past

July 23, 2013 - September 30, 2015

BENDIGO SECURITIES, LLC

BD
CRD#: 152529
NEW YORK, NY
Past

June 3, 2013 - July 24, 2013

MISSION CAPITAL LLC

BD
CRD#: 148006
NEW YORK, NY
Past

August 2, 2011 - April 8, 2013

BENDIGO SECURITIES, LLC

BD
CRD#: 152529
NEW YORK, NY
Past

February 28, 2005 - January 25, 2008

G1 EXECUTION SERVICES, LLC

BD
CRD#: 111528
NEW YORK, NY
Past

September 3, 2002 - March 8, 2005

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

May 14, 1998 - April 4, 2002

E*TRADE MARQUETTE SECURITIES, INC.

BD
CRD#: 24399
NEW YORK, NY
Past

December 14, 1989 - September 3, 2002

E*TRADE CLEARING LLC

BD
CRD#: 25025
JERSEY CITY, NJ
Past

July 21, 1987 - February 1, 1989

CIBC WOOD GUNDY SECURITIES CORP.

BD
CRD#: 3801
NEW YORK, NY
Past

July 17, 1986 - July 22, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

February 18, 1984 - July 10, 1986

AUTRANET, LLC

BD
CRD#: 8192

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/3/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/10/1989
General Securities Principal Examination

Current Firm

CB
CV BROKERAGE, INC
CV BROKERAGE INC | JAMES C. BUTTERFIELD INC. | CV BROKERAGE, INC

CRD#: 462 / SEC#: , 8-12429

BD
Cancelled by SEC on 09/28/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 05/25/1965
Firm type
Corporation
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CV INVESTMENTS, LLCMEMBER
JUILIANO, COLLEEN JANEFINOP4818898
MCCORMACK, WILLIAM THOMASCEO, CCO, COO2690069

Disclosures

Regulatory Event10

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.

Company Information

CV BROKERAGE, INC

CRD#: 462

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