Susan M. Goldgraben
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 Marie Goldgraben, who also goes by Susan M Goldgraben, Susan M Verbil Goldgraben, Susan Marie Verbil Goldgraben, Susan M Verbil, Susan Marie Verbil, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1985. Susan had worked at 4 firms and has passed the Series 63, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2017 - January 3, 2018
HEDGEMARK SECURITIES LLC
February 8, 2007 - July 13, 2007
MBSC, LLC
January 29, 2007 - July 12, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
November 16, 2005 - May 30, 2019
BNY MELLON SECURITIES CORPORATION
April 18, 1985 - April 20, 1994
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
HEDGEMARK SECURITIES LLC
CRD#: 164503 / SEC#: , 8-69106
Contact information
FINRA licenses (49 States and Territories)
Documents
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.
