Susan M. Clancy
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 Clancy, who also goes by Susan M Clancy, Susan Clancy Dougherty, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1984. Susan had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 1989 - September 9, 1993
ROBERT THOMAS SECURITIES, INC
July 18, 1989 - September 16, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 22, 1989 - August 3, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 5, 1989 - March 29, 1989
NATHAN & LEWIS SECURITIES, INC.
September 25, 1984 - January 30, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ROBERT THOMAS SECURITIES, INC
CRD#: 10147 / SEC#: , 8-26680
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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