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Susan M. Sloat

RINCON SECURITIES GROUP LLC
Westlake Village, CA 91361
Some features on this profile are disabled
CRD#: 2235716
SS

Professional summary

Susan Margaret Sloat, who also goes by Lori Ann Colosuno, Lori Ann Colousano, Lori Ann Culasuono, Susan Margaret Spielman, is a registered financial professional currently at RINCON SECURITIES GROUP LLC located in Westlake Village, California.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1994. Susan has worked at 9 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lori Ann Colosuno | Lori Ann Colousano | Lori Ann Culasuono | Susan Margaret Spielman

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 Susan Margaret Sloat's 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

July 23, 2020 - Present

RINCON SECURITIES GROUP LLC

Office #1: 3027 Townsgate Road Suite 230, Westlake Village, CA 91361
BD
CRD#: 305718
Westlake Village, CA
Past

February 22, 2017 - August 31, 2018

FINANCE OF AMERICA SECURITIES LLC

BD
CRD#: 284464
Westlake Village, CA
Past

April 3, 2014 - January 29, 2016

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
Westlake Village, CA
Past

December 14, 2009 - April 4, 2014

BANC OF MANHATTAN CAPITAL

BD
CRD#: 149880
WOODLAND HILLS, CA
Past

May 18, 2009 - January 5, 2010

MDB CAPITAL

BD
CRD#: 42677
CALABASAS, CA
Past

April 5, 1999 - September 9, 2008

COUNTRYWIDE SECURITIES CORPORATION

BD
CRD#: 10598
CALABASAS, CA
Past

May 1, 1997 - March 30, 1999

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

August 25, 1995 - January 28, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 27, 1994 - January 20, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
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
RR
Series 63
Date: 4/26/1999
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
SIE
Date: 8/31/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RINCON SECURITIES GROUP LLC
RINCON SECURITIES GROUP LLC

CRD#: 305718 / SEC#: , 8-70408

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
3027 Townsgate Road Suite 230, Westlake Village, CA 91361
Mailing Address
3027 Townsgate Road Suite 230, Westlake Village, CA 91361
Phone number
(805) 601-7188
Established
Delaware since 03/19/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DAHLKE, TAD ARTHURPRESIDENT2581451
HERMELEE, HAROLD BRIANMANAGING MEMBER1555279
SMITH, IAN CLARKCFO/CCO/FINOP6050210

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

RINCON SECURITIES GROUP LLC

CRD#: 305718Westlake Village, CA 91361

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