Sue M. Ponce
Professional summary
Sue Mildred Ponce, who also goes by Susie Mildred Ponce, is a registered financial professional currently at HASTINGS CAPITAL GROUP, LLC located in New York, New York.
Sue is registered as a RR (Registered Representative) and started their career in finance in 1988. Sue has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sue Mildred Ponce's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2007 - Present
HASTINGS CAPITAL GROUP, LLC
Office #1: 527 Madison Avenue - 4th Floor, New York, NY 10022December 3, 2001 - March 7, 2005
NEUBERGER BERMAN BD LLC
July 7, 2000 - March 15, 2002
MILLER TABAK + CO., LLC
March 25, 1999 - July 7, 2000
MILLER TABAK HIRSCH & CO.
May 17, 1993 - March 3, 1997
GOLDMAN SACHS & CO. LLC
April 19, 1988 - May 22, 1991
KIDDER, PEABODY & CO. 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
(6/1/2007)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
HASTINGS CAPITAL GROUP, LLC
CRD#: 142998 / SEC#: , 8-67517
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCARAMUCCI, ANTHONY (NMN) | MANAGER, MEMBER, CHIEF EXECUTIVE OFFICER, GENERAL SECURITIES PRINCIPAL | 1983175 |
| MESSING, BRETT STUART | MANAGER, MEMBER | 2077288 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2503352 |
| NOBLE, ALEXANDRA MARIE | CHIEF COMPLIANCE OFFICER, GENERAL SECURITIES PRINCIPAL | 5341828 |
| URREY, MINNA KATARIINA | CHIEF ADMINISTRATIVE OFFICER, GENERAL SECURITIES PRINCIPAL | 5429274 |
| WRIGHT, JASON RALPH | PRESIDENT, MEMBER, GENERAL SECURITIES PRINCIPAL | 2940758 |
Red Flags
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