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SH

Suzanne M. Hebert

Some features on this profile are disabled
CRD#: 1564976
SH

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 Marie Hebert was a registered financial professional .

Suzanne is a previously registered financial professional and started their career in finance in 1986. Suzanne had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
REGISTERED REPRESENTATIVE SCHIELD SECURITIES INC. CRD #16439 7/90 TO 9/03. NAME OF OTHER BUSINESS: HEBERT ADVISORY SERVICES INC. INVESTMENT RELATED: YES ADDRESS: 390 UNION BLVD, SUITE #610, DENVER, CO 80228. POSITION: SENIOR PORTFOLIO MANAGER. TITLE: PRESIDENT RELATIONSHIP: EMPLOYEE AND OFFICER START DATE: 2/92 NUMBER OF HOURS WORKED WEEKLY: 40 DUTIES: MANAGE DISCRETIONARY EQUITY PORTFOLIOS.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 14, 1995 - September 9, 2003

SCHIELD SECURITIES LLC

BD
CRD#: 36769
LITTLETON, CO
Past

June 22, 1992 - February 21, 2025

HEBERT ADVISORY SERVICES INC

RIA
CRD#: 106120
GOLDEN, CO
Past

January 4, 1991 - August 20, 1993

SCHIELD SECURITIES, INC.

BD
CRD#: 16439
Past

January 18, 1990 - July 5, 1990

D.E. FREY & COMPANY, INC.

BD
CRD#: 23595
DENVER, CO
Past

September 26, 1986 - January 23, 1990

NEWHARD, COOK & CO. INCORPORATED

BD
CRD#: 619
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/4/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/30/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination

Current Firm

SS
SCHIELD SECURITIES LLC
SCHIELD SECURITIES LLC

CRD#: 36769 / SEC#: , 8-47444

BD
Terminated by SEC on 09/17/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 06/10/1994
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SCHIELD, MARSHALL LEWPRESIDENT1370052
SCHIELD, MICHAEL FREDRICKCHIEF FINANCIAL OFFICER1468212

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.

Company Information

SCHIELD SECURITIES LLC

CRD#: 36769

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