Susan J. Haedt
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 J Haedt, who also goes by Susan Haedt, Susan Horick, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1995. Susan had worked at 2 firms and has passed the Series 99TO, SIE, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2017 - December 16, 2021
TRIPLETREE, LLC
November 14, 1995 - November 19, 1998
IAI SECURITIES, 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 ExaminationSeries 28
Date: 1/17/2017
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TRIPLETREE, LLC
CRD#: 42820 / SEC#: , 8-50015
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
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.
