Susan K. O'rorke Sebba
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 Kathleen O'rorke Sebba, who also goes by Susan Kathleen Bell ^^^, Susan Kathleen Bell, Susan Ororke Bell, Susan K O Rorke, Susan K O'rorke, Susan Kathleen O'rorke-bell ^^^, Susan Kathleen O'rorke-sebba ^^^, Susan K Ororke, Susan Kathleen Ororke, Susan Kathleen Sebba ^^^, Susan Kathleen Sebba, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1985. Susan had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 3, Series 53, Series 4 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
April 28, 2016 - June 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2016 - June 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 2011 - January 16, 2015
UBS FINANCIAL SERVICES INC.
April 8, 2011 - January 16, 2015
UBS FINANCIAL SERVICES INC.
December 3, 2007 - March 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 16, 2007 - March 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 1998 - December 31, 1998
LOMBARD SECURITIES INCORPORATED
October 8, 1993 - February 16, 1996
CHARLES SCHWAB & CO., INC.
November 9, 1989 - September 20, 1993
AMERIPRISE ADVISOR SERVICES, INC.
March 23, 1988 - April 1, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 1985 - July 2, 1987
MORGAN STANLEY DW INC.
January 23, 1985 - June 3, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 7TO
Date: 1/31/2024
General Securities Representative ExaminationSeries 8
Date: 2/3/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
