Susan L. Schiefelbein
Professional summary
Susan Lee Schiefelbein, who also goes by Susan Bergstrom, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in Portland, Oregon.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1985. Susan has worked at 7 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Lee Schiefelbein's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 6, 2012 - Present
CASTLEOAK SECURITIES, LP
Office #1: 4380 S Macadam Avenue Suite 540, Portland, OR 97239November 1, 2010 - April 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2000 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
October 1, 1998 - July 13, 1999
BANC OF AMERICA SECURITIES LLC
July 26, 1994 - October 1, 1998
BANCAMERICA SECURITIES, INC.
March 11, 1991 - July 19, 1994
LIBERTY CAPITAL MARKETS, INC.
February 22, 1989 - August 16, 1990
MORGAN STANLEY DW INC.
June 6, 1985 - February 8, 1989
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/15/2024)
(4/29/2013)
(7/6/2012)
(7/6/2012)
(7/6/2012)
(7/6/2012)
(1/6/2025)
(7/6/2012)
(5/7/2013)
(7/6/2012)
(7/6/2012)
(7/6/2012)
(1/25/2024)
(7/6/2012)
(7/10/2012)
(7/6/2012)
(7/6/2012)
(7/6/2012)
(4/1/2024)
Exams
FINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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