Suzanne P. Mcdougall
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.
Suzanne Portrum Mcdougall, who also goes by Suzanne Elizabeth Portrum, Suzanne Portrum, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1985. Suzanne had worked at 12 firms and has passed the Series 65, Series 63, Series 31, 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
February 8, 2008 - August 2, 2012
BOFA DISTRIBUTORS, INC.
March 6, 2007 - January 11, 2008
PROFUNDS DISTRIBUTORS, INC.
March 6, 2007 - January 11, 2008
IMST DISTRIBUTORS, LLC
March 6, 2007 - January 11, 2008
FUNDS DISTRIBUTOR, LLC
November 5, 2004 - January 11, 2008
FORESIDE DISTRIBUTION SERVICES, L.P.
April 17, 2001 - November 1, 2001
PRUDENTIAL EQUITY GROUP, LLC
April 17, 2001 - November 7, 2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 17, 2001 - November 7, 2001
PRUCO SECURITIES, LLC.
August 8, 1994 - October 21, 1994
LPL FINANCIAL LLC
October 9, 1992 - June 16, 1994
MORGAN STANLEY DW INC.
April 7, 1987 - September 28, 1992
USAA INVESTMENT SERVICES COMPANY
October 29, 1986 - March 16, 1987
PRUCO SECURITIES, LLC.
July 24, 1985 - December 26, 1985
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BOFA DISTRIBUTORS, INC.
CRD#: 30683 / SEC#: , 8-44998
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 2 |
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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