Suzanne V. Sarka

REGIMENT SECURITIES.

CHICAGO, IL 60611

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CRD#: 2025587

Professional summary

Suzanne Victoria Sarka is a registered financial professional currently at REGIMENT SECURITIES, LLC. located in Chicago, Illinois.

Suzanne is registered as a RR (Registered Representative) and started their career in finance in 1990. Suzanne has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 52 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Suzanne Victoria Sarka's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

June 9, 2025 - Present

REGIMENT SECURITIES, LLC.

Office #1: 420 N. Wabash Avenue, Chicago, IL 60611

CRD#: 311302

CHICAGO, IL

Past

November 11, 2024 - March 31, 2025

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

SALT LAKE CITY, UT

Past

October 18, 2021 - October 31, 2024

REGIMENT SECURITIES, LLC.

CRD#: 311302

CHICAGO, IL

Past

August 27, 2021 - December 31, 2021

HERMES ECONOMETRICS

RIA

CRD#: 113643

New York, NY

Past

May 31, 2016 - June 26, 2021

MERCURY SECURITIES, LLC

CRD#: 40368

NOVATO, CA

Past

June 17, 2009 - January 29, 2014

M. R. BEAL & COMPANY

CRD#: 22088

NEW YORK, NY

Past

August 23, 1991 - June 1, 1995

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

April 24, 1990 - August 13, 1991

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(6/16/2025)

Massachusetts
(6/16/2025)

New York
(6/15/2025)

Texas
(6/9/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/21/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/27/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/2009

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 6/16/2009

Municipal Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/20/1991

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

420 N. Wabash Avenue, Chicago, IL 60611

Mailing Address

420 N. Wabash Avenue 430, Chicago, IL 60611

Phone number

(773) 480-7561

Established

Delaware since 09/21/2020

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
REGIMENT, LLC.	MEMBER
BURNHAM, STEPHEN TYLER	SHAREHOLDER/PRINCIPAL	4663613
D&A CAPITAL PARTNERS LLC	MEMBER
CAVANAUGH, MICHAEL ALAN	CEO/CCO	4794844
JONES, SHARON DOSTER	FINOP/PFO/POO	3124470

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.

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Firm Stability Insights

Suzanne V. Sarka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Suzanne Victoria Sarka's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

REGIMENT SECURITIES, LLC.

HERMES ECONOMETRICS

MERCURY SECURITIES, LLC

M. R. BEAL & COMPANY

SALOMON BROTHERS INC.

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2016

Series 63

Date: 1/27/2010

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/23/2009

Series 52

Date: 6/16/2009

Series 3

Date: 2/20/1991

FINRA

Current Firm

REGIMENT SECURITIES, LLC.

Contact information

FINRA licenses (33 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

REGIMENT SECURITIES, LLC.

TRUST BUT VERIFY

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