Susan K. Ross
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 Kelli Ross, who also goes by Kelli Ross, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1992. Susan had worked at 7 firms and has passed the Series 63, SIE 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 12, 2024 - February 6, 2026
TRB CAPITAL MARKETS, LLC
November 2, 2021 - September 30, 2024
ESTRADA HINOJOSA & COMPANY, INC.
December 3, 2019 - November 1, 2021
CALTON & ASSOCIATES, INC.
February 26, 2016 - April 4, 2018
FIRST INTEGRITY CAPITAL PARTNERS CORP.
September 24, 1997 - December 3, 2015
FIRST SOUTHWEST COMPANY, LLC
March 22, 1995 - November 13, 1996
TITUS & DONNELLY LLC
June 22, 1992 - February 24, 1995
CITIGROUP GLOBAL MARKETS 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
Exams
Current Firm
TRB CAPITAL MARKETS, LLC
CRD#: 322618 / SEC#: , 8-70999
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS REGIONAL BANK | OWNER | |
| COULTER, ROBERT VINCENT | CHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL | 4211707 |
| HEBERT, MICHAEL JAMES | COMPLIANCE OFFICER/VP/SROP | 1229298 |
| HINOJOSA, NOE JR | PRESIDENT - MUNICIPAL BANKING | 1782212 |
| JOHNSON, KRISTY KAY | FINOP | 4470948 |
| TIPPIT, JOHN LEE IV | CEO/PRESIDENT OF CAPITAL MARKETS | 5809446 |
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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