Susan E. Talton
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 Elaine Talton, who also goes by Susan Elaine Moore, Susan Moore Sease, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1985. Susan had worked at 3 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
August 19, 2008 - September 8, 2020
LNW
May 13, 1998 - March 24, 2005
CITIGROUP GLOBAL MARKETS INC.
March 20, 1985 - May 15, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LNW
CRD#: 113400 / SEC#: 801-60345
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
LNW
CRD#: 113400 / SEC#: 801-60345
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,463 |
| AUM (Assets Under Management) | $ 4,526,284,775 |
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.
