Susan T. Bailey
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 Traub Bailey, who also goes by Susan Elizabeth Traub, Susan Elizabeth Traud, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1995. Susan had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2013 - May 28, 2019
MSEC, LLC
December 12, 2011 - May 6, 2013
M HOLDINGS SECURITIES, INC.
March 17, 2006 - December 7, 2011
RBC CAPITAL MARKETS, LLC
February 9, 2005 - March 14, 2006
QUASAR DISTRIBUTORS, LLC
November 14, 2002 - February 25, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 15, 1999 - October 23, 2002
RBC CAPITAL MARKETS, LLC
March 18, 1999 - November 2, 1999
LPL FINANCIAL LLC
August 14, 1998 - February 16, 1999
PRINCIPAL SECURITIES, INC.
August 30, 1995 - August 13, 1998
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MSEC, LLC
CRD#: 154327 / SEC#: , 8-68627
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
