Reuben L. Sushman
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.
Reuben Leo Sushman, who also goes by Biff Sushman, was a registered financial professional .
Reuben is a previously registered financial professional and started their career in finance in 1988. Reuben had worked at 7 firms and has passed the Series 63, Series 66, Series 65, Series 3, Series 55, Series 7, Series 24, Series 53, Series 4 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2005 - August 14, 2006
NORTHERN CAPITAL SECURITIES CORPORATION
March 25, 1999 - November 16, 1999
PINNACLE ASSET MANAGEMENT, INC.
November 28, 1997 - March 29, 1999
MORGAN STANLEY DW INC.
September 7, 1993 - November 17, 1997
CITIGROUP GLOBAL MARKETS INC.
January 20, 1992 - September 20, 1993
FIRST UNION CAPITAL MARKETS CORP.
November 29, 1990 - February 10, 1992
REICH & CO., INC.
March 3, 1988 - January 1, 1991
MARSH, BLOCK & 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
Series 55
Date: 10/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
NORTHERN CAPITAL SECURITIES CORPORATION
CRD#: 40659 / SEC#: , 8-49130
Contact information
FINRA licenses (25 States and Territories)
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.
