Susan R. Donohue
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 Rae Donohue was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1992. Susan had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 51 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
November 20, 2021 - January 17, 2025
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
March 26, 2021 - October 13, 2021
FIRST ALLIED SECURITIES, INC.
April 16, 2019 - March 16, 2021
SANCTUARY SECURITIES, INC.
October 21, 2013 - April 16, 2019
WELLS FARGO CLEARING SERVICES, LLC
May 14, 2001 - October 17, 2013
CITY SECURITIES CORPORATION
March 16, 2000 - May 30, 2001
CHARLES SCHWAB & CO., INC.
June 1, 1998 - February 24, 2000
MORGAN STANLEY DW INC.
August 15, 1996 - November 5, 1997
MORGAN STANLEY DW INC.
January 3, 1995 - November 21, 1995
LPL FINANCIAL LLC
May 9, 1994 - December 31, 1994
WALL STREET ACCESS
June 19, 1992 - November 27, 1992
WALL STREET ACCESS
May 27, 1992 - June 1, 1992
UNITED PACIFIC 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
CRD#: 8478 / SEC#: 801-63564, 8-25452
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICES HOLDINGS, LLC | SOLE SHAREHOLDER | |
| COKER, KAREN LE'ELLEN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PARKER, RICHARD WILSON | CEO | 5497397 |
| REYNOLDS, MATTHEW MARK | PRESIDENT / FINOP / PFO / POO/CCO | 4077413 |
| RUDNICK, REGINA MARY | HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
| TITAK, JAMES JOHN | CHAIRMAN OF THE BOARD | 1008441 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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