Susan K. Allen
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 Allen, who also goes by Susan Kathleen Orth, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1993. Susan had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2013 - September 5, 2013
QUESTAR ASSET MANAGEMENT, INC.
June 28, 2013 - September 5, 2013
QUESTAR CAPITAL CORPORATION
June 7, 2010 - July 1, 2011
INTEGRITY ALLIANCE, LLC.
June 13, 2007 - July 1, 2011
INTEGRITY ALLIANCE, LLC.
February 6, 2007 - June 26, 2007
CETERA ADVISORS LLC
February 5, 2007 - June 26, 2007
CETERA ADVISORS LLC
July 9, 2003 - October 23, 2006
INVESTACORP ADVISORY SERVICES INC
June 30, 2003 - October 16, 2006
INVESTACORP, INC.
June 7, 2000 - July 2, 2003
CETERA ADVISORS LLC
May 17, 1996 - July 2, 2003
CETERA ADVISORS LLC
June 1, 1993 - May 29, 1996
SUNAMERICA 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
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
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.
