Susan H. Bentley
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 Hamblin Bentley, CIMA®, who also goes by Susan Hamblin, Susan Hamblin Lawrence, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1988. Susan had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2024 - June 29, 2026
PURSHE KAPLAN STERLING INVESTMENTS
April 14, 2023 - July 7, 2026
MERIT FINANCIAL ADVISORS
April 27, 2020 - April 14, 2023
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
April 22, 2020 - August 16, 2024
LPL FINANCIAL LLC
January 5, 2018 - April 24, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 5, 2018 - April 24, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 14, 1998 - January 5, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 7, 1997 - January 5, 2018
WELLS FARGO CLEARING SERVICES, LLC
May 25, 1988 - December 4, 1997
PIPER SANDLER & CO.
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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