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SK

Susan M. King

Some features on this profile are disabled
CRD#: 1917282
SK

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 M King, CFP®, who also goes by Susan Matteson King, Susan Louise Matteson, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 1989. Susan had worked at 11 firms and has passed the Series 65, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan Matteson King | Susan Louise Matteson

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

February 26, 2021 - May 25, 2021

CASTLE HILL CAPITAL PARTNERS, INC.

BD
CRD#: 44131
NEW YORK, NY
Past

May 1, 2018 - January 31, 2020

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ
Past

September 21, 2015 - April 19, 2017

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY
Past

December 4, 2013 - September 15, 2015

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

February 24, 2011 - October 5, 2011

MORGAN STANLEY DISTRIBUTORS INC.

BD
CRD#: 30992
NEW YORK, NY
Past

January 11, 2011 - December 23, 2013

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

November 18, 2010 - February 1, 2011

TSC DISTRIBUTORS, LLC

BD
CRD#: 37058
NEW YORK, NY
Past

December 1, 2005 - February 4, 2009

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

March 18, 2005 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 27, 1998 - February 28, 2005

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

January 24, 1989 - April 3, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/29/2020
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/8/2001
General Securities Principal Examination

Current Firm

CH
CASTLE HILL CAPITAL PARTNERS, INC.
BOUCHEY & ASSOCIATES, INC. | CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131 / SEC#: , 8-50550

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
216 East 45th Street, Suite 1301, New York, NY 10017
Mailing Address
216 East 45th Street, Suite 1301, New York, NY 10017
Phone number
(212) 784-6104
Established
New York since 09/05/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAUNDERS, ANDREW O'BRIENPRESIDENT5690785
WEBSTER, GEOFFREY LEHMANPRINCIPAL OPERATING OFFICER, PRINCIPAL FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER2561071

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.

Company Information

CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131

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