Susanne E. Roth
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.
Susanne Eleanor Roth, who also goes by Susanne Eleanor Colt, Susanne Eleanor Shannon, was a registered financial professional .
Susanne is a previously registered financial professional and started their career in finance in 2001. Susanne had worked at 4 firms and has passed the Series 65, Series 63, Series 62 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
August 3, 2010 - December 19, 2012
LEGEND ADVISORY, LLC
August 3, 2010 - December 19, 2012
LEGEND EQUITIES CORPORATION
February 21, 2006 - August 9, 2010
SII INVESTMENTS, INC.
October 16, 2003 - August 9, 2010
SII INVESTMENTS, INC.
May 24, 2001 - October 20, 2003
FORESTERS FINANCIAL SERVICES, 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
Series 62
Date: 10/1/2004
Corporate Securities Limited Representative ExaminationCurrent Firm
LEGEND ADVISORY, LLC
CRD#: 104761 / SEC#: 801-13887
Contact information
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.
