Susan Maureen Weschler
Professional Summary
Susan Maureen Weschler is a registered financial advisor currently at COMPASS SECURITIES CORPORATION located in Braintree, Massachusetts. Susan is registered as a RR (Registered Representative) and started their career in finance in 1988. Susan has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
COMPASS SECURITIES CORPORATION
Contact Information
Main Address
50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734Mailing Address
50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734Phone Number
(781) 535-6083Established
Massachusetts since 11/05/1984Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/2/2014)
(12/15/2015)
(1/13/2015)
(2/5/2015)
(3/31/2016)
(10/13/1992)
(1/2/2014)
(1/2/2014)
(1/14/2015)
(1/13/2015)
(6/4/2018)
(1/13/2015)
(2/5/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1988About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Susan Maureen Weschler's CRS (Customer Relationship Summary).
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