Susan J. Nelson
Professional summary
Susan Jayne Nelson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Susan is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Susan had worked at 4 firms, which includes USF SECURITIES L.P., FSC SECURITIES CORPORATION, UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2008 - September 24, 2008
USF SECURITIES, L.P.
November 8, 2006 - May 5, 2008
FSC SECURITIES CORPORATION
April 14, 2005 - September 1, 2006
FSC SECURITIES CORPORATION
April 13, 1999 - July 11, 2003
UBS FINANCIAL SERVICES INC.
April 10, 1999 - July 11, 2003
UBS FINANCIAL SERVICES INC.
March 20, 1986 - August 20, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
USF SECURITIES, L.P.
CRD#: 37942 / SEC#: , 8-48007
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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