Susan B. Levine
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 B Levine, who also goes by Susan Brauna Levine, Susan Levine, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1992. Susan had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 28 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 17, 2009 - October 13, 2014
MARSHFIELD ASSOCIATES
July 30, 2002 - May 2, 2005
QUINCE HILL PARTNERS, LLC
July 11, 2001 - September 24, 2002
RAMIUS SECURITIES LLC
August 12, 1992 - May 13, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
MARSHFIELD ASSOCIATES
CRD#: 150614 / SEC#: 801-70275
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
Series 28
Date: 4/12/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MARSHFIELD ASSOCIATES
CRD#: 150614 / SEC#: 801-70275
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,466 |
| AUM (Assets Under Management) | $ 7,500,657,939 |
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.
