Stanley M. Sussman
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.
Stanley Martin Sussman was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1987. Stanley had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - December 31, 2018
TRADINGBLOCK
March 3, 2010 - August 3, 2012
BROKERSXPRESS LLC
January 1, 2002 - February 26, 2010
VFINANCE INVESTMENTS, INC
February 6, 1996 - January 1, 2002
FIRST COLONIAL SECURITIES
July 12, 1993 - February 4, 1994
NATIONSSECURITIES
August 14, 1990 - July 12, 1993
MORGAN STANLEY DW INC.
February 22, 1989 - August 7, 1990
KOCHCAPITAL
December 22, 1988 - February 10, 1989
AMERICAN CAPITAL CORPORATION
August 5, 1988 - December 1, 1988
NATIONAL SECURITIES CORPORATION
February 26, 1987 - September 1, 1988
BLINDER, ROBINSON & CO., 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
TRADINGBLOCK
CRD#: 128605 / SEC#: , 8-66163
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
