Susan M. Moran
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 Merle Moran was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1987. Susan had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2015 - April 22, 2016
DEER ISLE CAPITAL, LLC
July 1, 2003 - November 19, 2007
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 29, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 2, 1997 - June 22, 1998
SBC WARBURG DILLON READ INC.
January 30, 1995 - September 2, 1997
SBC WARBURG, INC.
April 7, 1993 - January 11, 1995
UBS SECURITIES LLC
February 15, 1990 - March 9, 1993
DB ALEX. BROWN LLC
November 25, 1987 - January 25, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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
DEER ISLE CAPITAL, LLC
CRD#: 146269 / SEC#: , 8-67803
Contact information
FINRA licenses (6 States and Territories)
Documents
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.
