Susan B. Moloney
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 Bossmann Moloney, who also goes by Susan Bossman, Susan Elli Bossmann, Susan Bossmann, Susan Bossmann Maloney, Susan B Moloney, Susan Bossman Moloney, Sussan Bossmann Moloney, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1991. Susan had worked at 10 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 3 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2018 - February 27, 2026
BMO CAPITAL MARKETS CORP.
May 1, 2012 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
April 28, 2010 - April 17, 2012
STORMHARBOUR SECURITIES LP
August 4, 2009 - April 26, 2010
WEDBUSH SECURITIES INC.
July 20, 2009 - April 26, 2010
WEDBUSH SECURITIES INC.
March 19, 2008 - December 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 2008 - December 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 1996 - July 21, 2006
NOMURA SECURITIES INTERNATIONAL, INC.
February 4, 1994 - June 20, 1996
PERSHING LLC
September 30, 1993 - January 20, 1994
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - October 4, 1993
CITIGROUP GLOBAL MARKETS INC.
September 8, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
January 29, 1991 - August 24, 1992
PRUDENTIAL EQUITY GROUP, LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
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.
