Susan E. Mersereau
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 Elaine Mersereau, who also goes by Sue Mersereau, Susan Elaine Petty, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1983. Susan had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 7, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2016 - July 10, 2017
SYMETRA SECURITIES, INC.
January 30, 2012 - November 14, 2014
SAMMONS FINANCIAL NETWORK, LLC
July 8, 2011 - February 17, 2012
PARKLAND SECURITIES, LLC
April 28, 2011 - June 23, 2011
INTEGRITY ALLIANCE, LLC.
February 25, 2008 - January 3, 2011
AMERICAN EQUITY CAPITAL, INC.
December 11, 2000 - February 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 1991 - February 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 1990 - November 6, 1991
IDS LIFE INSURANCE COMPANY
December 13, 1990 - November 6, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
September 18, 1989 - October 11, 1990
LEHMAN BROTHERS INC.
July 21, 1983 - October 6, 1989
DICKINSON & CO.
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 15
Date: 9/14/1983
Foreign Currency Options ExaminationSeries 8
Date: 9/25/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
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.
