Susan H. Crisco
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 H Crisco, who also goes by Susan Elaine Horne, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1992. Susan had worked at 8 firms and has passed the Series 65, 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
February 25, 2013 - March 31, 2017
OSAIC INSTITUTIONS, INC.
February 20, 2013 - March 31, 2017
OSAIC INSTITUTIONS, INC.
July 21, 2009 - February 20, 2013
LPL FINANCIAL LLC
July 21, 2009 - February 20, 2013
LPL FINANCIAL LLC
November 10, 2003 - July 21, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
July 31, 2003 - July 21, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
March 19, 2003 - August 1, 2003
ESSEX NATIONAL SECURITIES, LLC
February 3, 2000 - March 11, 2003
OSAIC WEALTH, INC.
October 7, 1998 - February 4, 2000
MM ASCEND LIFE INVESTOR SERVICES, LLC
November 1, 1993 - October 1, 1998
THE STRATEGIC ALLIANCE CORPORATION
March 24, 1992 - November 9, 1993
ROBERT THOMAS SECURITIES, INC
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
