Susan K. Alder
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 Katherine Alder, who also goes by Sue Alder, Susan K Alder, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1984. Susan had worked at 6 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 21, 1989 - November 29, 2013
ALPINE SECURITIES CORPORATION
September 10, 1986 - July 24, 1989
KOBER FINANCIAL CORP.
July 19, 1985 - July 23, 1987
HICKEY, KOBER, INCORPORATED
July 16, 1985 - September 19, 1985
FITZGERALD, TALMAN, INC.
November 8, 1984 - July 19, 1985
NIELSON AND CLARK INC.
June 20, 1984 - September 17, 1984
COVEY & CO., 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
ALPINE SECURITIES CORPORATION
CRD#: 14952 / SEC#: , 8-31464
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 45 |
| Civil Event | 2 |
| Arbitration | 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.
