Susan J. Keen
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 Janet Keen, who also goes by Susan Grossman, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1987. Susan had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, 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
December 6, 2022 - December 4, 2023
FOURTHOUGHT FINANCIAL PARTNERS, LLC.
March 9, 2022 - December 9, 2022
FOURTHOUGHT PRIVATE WEALTH
July 6, 1987 - April 3, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 1987 - April 3, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
FOURTHOUGHT FINANCIAL PARTNERS, LLC.
CRD#: 323060 / SEC#: 801-126759
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
Series 7TO
Date: 2/28/2024
General Securities Representative ExaminationCurrent Firm
FOURTHOUGHT FINANCIAL PARTNERS, LLC.
CRD#: 323060 / SEC#: 801-126759
Contact information
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,882 |
| AUM (Assets Under Management) | $ 1,589,562,254 |
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.
