Susan L. Neimeth
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 Leslie Neimeth, who also goes by Susan Leslie Fulshaw, Susan Neimeth Fulshaw, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1991. Susan had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2022 - October 30, 2023
MISSIONSQUARE INVESTMENT SERVICES
February 20, 2018 - December 31, 2020
MML INVESTORS SERVICES, LLC
February 20, 2018 - December 31, 2020
MML DISTRIBUTORS, LLC
May 6, 2010 - May 8, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 1, 2008 - April 16, 2010
FIDELITY BROKERAGE SERVICES LLC
February 14, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
September 17, 1997 - October 21, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
March 16, 1992 - September 17, 1997
FIDELITY BROKERAGE SERVICES LLC
April 24, 1991 - September 13, 1991
JJC SECURITIES CO., 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
MISSIONSQUARE INVESTMENT SERVICES
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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