Susan K. Sweeney
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 Kay Sweeney, who also goes by Susan Kay Mangels, Susan K Ostdiek, Susan Kay Ostdiek, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1987. Susan had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2010 - August 27, 2012
INVESTACORP ADVISORY SERVICES INC
August 25, 2010 - August 24, 2012
INVESTACORP, INC.
October 13, 2008 - August 24, 2010
CAPITAL FINANCIAL SERVICES, INC.
October 13, 2008 - August 24, 2010
CAPITAL FINANCIAL SERVICES, INC.
December 18, 2007 - October 10, 2008
RESOURCE HORIZONS GROUP LLC
February 3, 1987 - July 13, 1987
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTACORP ADVISORY SERVICES INC
CRD#: 109011 / SEC#: 801-57738
Contact information
Red Flags
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