Susan M. Mcguire
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 Mary Mcguire was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1985. Susan had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2015 - July 1, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
August 28, 2015 - July 1, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
February 16, 2001 - September 30, 2013
TRUIST INVESTMENT SERVICES, INC.
February 16, 2001 - September 30, 2013
TRUIST INVESTMENT SERVICES, INC.
October 12, 2000 - February 22, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
October 12, 2000 - February 22, 2001
VALIC FINANCIAL ADVISORS, INC.
December 21, 1999 - October 12, 2000
AMERICAN GENERAL EQUITY SERVICES CORPORATION
April 26, 1994 - December 31, 1997
JPMSI
June 16, 1993 - April 27, 1994
BARCLAYS CAPITAL INC.
August 19, 1987 - March 1, 1993
MORGAN STANLEY MARKET PRODUCTS INC.
October 22, 1985 - March 1, 1993
MORGAN STANLEY & CO. LLC
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
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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