Susan Head
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 Head, who also goes by Susan Baker, Susan Bakerhead, Susan Chambers, Susie Chambers, Susan Chambers Mcdowell, Susan Mcdowell, 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 63, Series 7 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
July 31, 1996 - September 27, 1996
HOAK BREEDLOVE WESNESKI & CO.
April 19, 1995 - August 12, 1996
SC SECURITIES CORP.
January 23, 1995 - May 11, 1995
UBS FINANCIAL SERVICES INC.
July 6, 1994 - March 3, 1995
CULMEN GROUP, L.P.
October 28, 1993 - April 26, 1994
CITIGROUP GLOBAL MARKETS INC.
July 20, 1990 - August 26, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 1989 - October 18, 1990
DFW CLEARING, INC.
August 10, 1988 - September 7, 1988
TEXAS SECURITIES, INC.
November 20, 1985 - May 17, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 1984 - November 2, 1984
PIPER SANDLER & CO.
September 21, 1983 - June 20, 1984
WEDBUSH SECURITIES 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
HOAK BREEDLOVE WESNESKI & CO.
CRD#: 23728 / SEC#: , 8-40711
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HBW HOLDINGS, INC. | SOLE SHAREHOLDER | |
| ANDERSON, EDWARD RAY | EVP FINANCE AND ADMINISTRATION, FINOP, COMPLIANCE OFFICER, DIRECTOR | 714215 |
| CRAIG, MICHAEL DWAYNE | DIRECTOR | 3235060 |
| MITCHELL, SAMUEL PAUL | EXECUTIVE VICE-PRESIDENT | 337092 |
| PRICE, CLENTON RAY | DIRECTOR, EXVP | 2790480 |
| WESNESKI, LAWRENCE EDWARD | PRES., CEO, CHAIRMAN | 837481 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 2 |
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.
