Susan E. Kowalsky
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 Elizabeth Kowalsky, who also goes by Susan Elizabeth Harper, Susie Kowalsky, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1989. Susan had worked at 5 firms and has passed the Series 65, Series 63 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
January 3, 2012 - May 1, 2013
PURSHE KAPLAN STERLING INVESTMENTS
January 20, 2010 - September 30, 2019
COASTAL BRIDGE ADVISORS
October 17, 2008 - December 31, 2011
DOMINARI SECURITIES LLC
February 27, 2006 - October 21, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2006 - October 21, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 1993 - July 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 1993 - July 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 1989 - July 27, 1993
LEHMAN BROTHERS INC.
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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