William S. Susman
Professional summary
William Sachs Susman, who also goes by William S Susman, is a registered financial professional currently at CASCADIA CAPITAL, LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1990. William has worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Sachs Susman's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2024 - Present
CASCADIA CAPITAL, LLC
Office #1: 477 Madison Avenue 18th Floor, New York, NY 10022January 23, 2012 - January 3, 2025
THREADSTONE CAPITAL, LLC
April 19, 2011 - January 20, 2012
MILESTONE ADVISORS LLC
March 28, 2005 - January 18, 2011
FINSEC, LLC
December 18, 1996 - August 20, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 1990 - March 25, 1996
SALOMON BROTHERS 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
(2/2/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CASCADIA CAPITAL, LLC
CRD#: 101020 / SEC#: , 8-52064
Contact information
FINRA licenses (14 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
