Suzanne S. Bennett
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 Speck Bennett, who also goes by Suzanne Speck Bauchman, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1988. Suzanne had worked at 9 firms and has passed the Series 63 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
October 1, 2007 - January 29, 2014
COMMERCE STREET CAPITAL, LLC
May 19, 2006 - November 28, 2007
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
July 7, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
August 2, 1996 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
January 1, 1995 - May 10, 1996
COMERICA SECURITIES
September 21, 1994 - January 1, 1995
COMERICA FINANCIAL SERVICES, INC.
September 27, 1990 - May 19, 1994
BANC ONE CAPITAL MARKETS, INC.
September 7, 1990 - September 19, 1990
MBANK CAPITAL MARKETS, INC.
March 23, 1988 - June 10, 1988
CLAREMONT FINANCIAL SERVICES
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
COMMERCE STREET CAPITAL, LLC
CRD#: 143797 / SEC#: , 8-67606
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
