SM

Susan A. Mann

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CRD#: 2213721
SM

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 A Mann, who also goes by Susan A Jennejahn, Susan Pickeringmann, 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 65, Series 63, Series 7 and Series 6 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Susan A Jennejahn | Susan Pickeringmann

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.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

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


Past

January 30, 2007 - March 3, 2008

ENSEMBLE FINANCIAL SERVICES, INC.

BD
CRD#: 17443
ROCHESTER, NY
Past

March 14, 2000 - January 16, 2007

SAGE, RUTTY & CO., INC.

BD
CRD#: 3254
ROCHESTER, NY
Past

March 26, 1999 - March 13, 2000

COMMUNITY INVESTMENT SERVICES, INC.

BD
CRD#: 46332
OLEAN, NY
Past

April 26, 1994 - March 16, 1999

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

May 21, 1992 - April 22, 1994

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings


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

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam

Current Firm


EF
ENSEMBLE FINANCIAL SERVICES, INC.
AM&M INVESTMENT BROKERS, INC. | ENSEMBLE FINANCIAL SERVICES, INC.

CRD#: 17443 / SEC#: , 8-35776

BD
Terminated by SEC on 06/05/2015
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Contact information


Main Address
Mailing Address
Phone number
Established
New York since 03/31/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
TFA MANAGEMENT INC., A SUBSIDIARY OF TOMPKINS FINANCIAL CORPORATIONPARENT COMPANY
CIANTRO, PHILIP GERARDFINANCIAL OPERATIONS PRINCIPAL2350685
WARNER, CHRISTINE ANNECHIEF COMPLIANCE OFFICER / MANAGING PRINCIPAL4001584

Disclosures


Regulatory Event2
Arbitration1

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


ENSEMBLE FINANCIAL SERVICES, INC.

CRD#: 17443

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