Susan M. Donofrio
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. Donofrio, who also goes by Susan Marie Donofrio, Susan Donofrio, Susan Marie Paynter, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1990. Susan had worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2017 - November 8, 2019
MACQUARIE CAPITAL (USA) INC.
January 17, 2006 - October 2, 2007
CATHAY FINANCIAL INC
December 13, 2005 - January 17, 2006
SOLEIL SECURITIES CORPORATION
May 7, 2004 - December 12, 2005
FULCRUM GLOBAL PARTNERS LLC
June 7, 1999 - March 23, 2004
DEUTSCHE BANK SECURITIES INC.
July 9, 1998 - June 7, 1999
DB ALEX. BROWN LLC
June 24, 1996 - February 2, 1998
NATWEST SECURITIES CORPORATION
October 9, 1992 - May 16, 1996
SALOMON BROTHERS INC.
May 22, 1990 - October 20, 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
Current Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| 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.
