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GW

Gladys S. Walsworth

SISUNG SECURITIES
Metairie, LA 70002
Some features on this profile are disabled
CRD#: 2135997
GW

Professional summary

Gladys Sue W. Walsworth, who also goes by Sue W Walsworth, is a registered financial professional currently at SISUNG SECURITIES CORPORATION located in Metairie, Louisiana.

Gladys is registered as a RR (Registered Representative) and started their career in finance in 1992. Gladys has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sue W Walsworth

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 Gladys Sue W. Walsworth'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

September 19, 1996 - Present

SISUNG SECURITIES CORPORATION

Office #1: 3850 N. Causeway Blvd. Ste. 1930, Metairie, LA 70002Office #2: 3850 N. Causeway Blvd. Ste. 1930, Metairie, LA 70002
BD
CRD#: 25752
Metairie, LA
Past

February 25, 1992 - August 27, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 24, 1992 - March 25, 1992

DOLEY SECURITIES, LLC.

BD
CRD#: 7081
NEW ORLEANS, LA

State Registrations and Notice Filings

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

RR
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

RR
Louisiana
(9/20/1996)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/22/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/30/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/20/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SISUNG SECURITIES CORPORATION
SISUNG SECURITIES CORPORATION

CRD#: 25752 / SEC#: , 8-42121

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
3850 N. Causeway Blvd. Ste. 1930, Metairie, LA 70002
Mailing Address
3850 N. Causeway Blvd. Ste. 1930, Metairie, LA 70002
Phone number
(504) 544-7700
Established
Louisiana since 11/14/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SISUNG HOLDINGS, LLCSHAREHOLDER
MAYEAUX, JOHN ELLISSR. VP, PUBLIC FINANCE2993410
SCHEXNAYDER, KENT MATTHEWVP, PUBLIC FINANCE3074481
SISUNG, LAWRENCE JOHN IIIDIRECTOR1790087
SISUNG, LAWRENCE JOHN JRPRESIDENT / CEO / CCO1285539
SISUNG, ROBERT LANEDIRECTOR / CFO1990367
SOLARES, RICHARD LOUISSR. VP, BROKER DEALER SERVICES2029652

Disclosures

Regulatory Event2

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.

Company Information

SISUNG SECURITIES CORPORATION

CRD#: 25752Metairie, LA 70002

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