Susan R. Katzke
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 Roth Katzke, who also goes by Susan Leslie Roth, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1992. Susan had worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 87 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
October 13, 2014 - December 26, 2023
CREDIT SUISSE SECURITIES (USA) LLC
October 10, 2000 - May 1, 2009
CREDIT SUISSE SECURITIES (USA) LLC
December 2, 1996 - October 10, 2000
PERSHING LLC
May 19, 1995 - November 20, 1996
J.P. MORGAN SECURITIES LLC
December 22, 1994 - November 20, 1996
J.P. MORGAN SECURITIES LLC
June 4, 1993 - January 11, 1995
KIDDER, PEABODY & CO. INCORPORATED
February 5, 1992 - March 9, 1993
MONTGOMERY SECURITIES
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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
