Shushana M. Castle
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.
Shushana Mariam Castle, who also goes by Shushana Miriam Castle, Susan Castle, Shushana Mariam Kherkher, Shushana Miriam Kherkher, Shushana Kherkher, Susan Kherkher, Suz Kherkher, was a registered financial professional .
Shushana is a previously registered financial professional and started their career in finance in 1987. Shushana had worked at 13 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
January 23, 2017 - May 18, 2017
LOMBARD SECURITIES INCORPORATED
February 25, 2014 - April 2, 2015
LPL FINANCIAL LLC
November 17, 2011 - March 20, 2012
PIERPONT CAPITAL ADVISORS LLC
August 31, 2009 - January 5, 2010
SSC NY CORP.
June 15, 2007 - September 24, 2007
RAYMOND JAMES & ASSOCIATES, INC.
October 27, 2003 - June 21, 2005
AMHERST SECURITIES GROUP, L.P.
May 29, 2001 - July 2, 2002
IMS SECURITIES, INC.
October 23, 1998 - October 5, 1999
COLLEGE & UNIVERSITY SECURITIES CORPORATION
October 9, 1998 - November 17, 1999
ICBA SECURITIES
May 28, 1998 - November 17, 1999
VINING-SPARKS IBG, LLC
August 19, 1996 - June 2, 1998
FIRST CLEARING, LLC
October 27, 1992 - August 20, 1996
MERIDIAN SECURITIES, INC.
January 21, 1987 - October 2, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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.
