Susan M. Waterhouse
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 Mary Waterhouse, who also goes by Sue Waterhouse, Susie Waterhouse, was a registered financial advisor .
Susan is a previously registered financial advisor and started their career in finance in 1984. Susan had worked at 8 firms and has passed the Series 65, 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 12, 2010 - August 24, 2015
KEY CONCERNS INC
August 21, 2000 - March 6, 2002
FREEDOM FINANCIAL, INC.
June 30, 1994 - August 15, 2000
SIGMA FINANCIAL CORPORATION
April 1, 1993 - June 22, 1994
ROBERT THOMAS SECURITIES, INC
March 26, 1992 - April 6, 1993
NORTH AMERICAN FINANCIAL GROUP, INC.
August 30, 1989 - March 23, 1992
SIGMA FINANCIAL CORPORATION
November 12, 1986 - September 11, 1989
MARINER FINANCIAL SERVICES, INC.
April 17, 1985 - November 26, 1986
MUTUAL SERVICE CORPORATION
November 12, 1984 - April 2, 1985
U.S. MUTUAL SECURITIES CORP.
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
KEY CONCERNS INC
CRD#: 124598 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 227 |
| AUM (Assets Under Management) | $ 23,860,000 |
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.
