Suzanne Hobbie
Professional summary
Suzanne Hobbie was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Suzanne is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Suzanne had worked at 9 firms, which includes BARRON CHASE SECURITIES INC., WOODSTOCK FINANCIAL GROUP INC., FIRST SOUTHEASTERN SECURITIES GROUP INCORPORATED, CONTINENTAL CAPITAL INVESTMENT SERVICES INC., MERIDIAN DUNHILL & CO. INC., CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 1998 - November 20, 1998
BARRON CHASE SECURITIES, INC.
March 9, 1998 - April 22, 1998
WOODSTOCK FINANCIAL GROUP, INC.
June 24, 1997 - November 25, 1997
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
February 6, 1995 - June 5, 1997
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
March 14, 1991 - June 7, 1995
MERIDIAN, DUNHILL & CO., INC.
September 5, 1989 - March 4, 1991
CITIGROUP GLOBAL MARKETS INC.
June 23, 1987 - August 23, 1989
MORGAN STANLEY DW INC.
October 4, 1984 - June 29, 1987
PRUDENTIAL EQUITY GROUP, LLC
July 10, 1984 - September 30, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
Red Flags
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