Susan M. Cane
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 Marie Cane, who also goes by Suzie Cane, Susan Marie Hughes, Suzie Hughes, Susan Pshyk, Suzie Pshyk, Susan Marie Quest, Suzie Quest, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1991. Susan had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
July 14, 2015 - September 24, 2015
STATE FARM VP MANAGEMENT CORP.
July 1, 2014 - October 22, 2014
WELLS FARGO CLEARING SERVICES, LLC
December 21, 1996 - November 17, 1997
BARNETT INVESTMENTS, INC.
September 2, 1994 - January 30, 1995
FIFTH THIRD SECURITIES, INC.
August 31, 1994 - September 6, 1994
PRUDENTIAL EQUITY GROUP, LLC
July 28, 1994 - September 1, 1994
AMSOUTH INVESTMENT SERVICES, INC.
May 27, 1993 - July 27, 1994
MARKETING ONE SECURITIES, INC.
February 19, 1993 - June 1, 1993
CAPITAL BROKERAGE CORPORATION
January 31, 1991 - July 12, 1991
UBS FINANCIAL SERVICES 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
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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.
