Susanne S. Pruitt
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.
Susanne Smith Pruitt, who also goes by Susanne W Smith, Susanne Ward Smith, was a registered financial professional .
Susanne is a previously registered financial professional and started their career in finance in 1985. Susanne 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
March 3, 2003 - April 18, 2005
PCS SECURITIES, INC.
March 28, 1989 - April 28, 2003
ENDATUM SECURITIES, INC.
September 9, 1987 - December 23, 1988
MONTGOMERY SECURITIES
July 7, 1987 - September 16, 1987
ALEX. BROWN & SONS INCORPORATED
January 2, 1986 - June 5, 1987
MONTGOMERY SECURITIES
June 18, 1985 - January 2, 1986
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PCS SECURITIES, INC.
CRD#: 47588 / SEC#: , 8-51822
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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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