Susan M. Lane-jean-baptiste
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 Marie Lane-jean-baptiste, who also goes by Susan M Lane, Susan Marie Lane, Susan Marie Lane-jean-baptiste, Susan Marie Santiago, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1997. Susan had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, Series 82TO, Series 52TO, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2019 - September 25, 2020
WELLS FARGO SECURITIES, LLC
June 1, 2009 - May 14, 2019
MORGAN STANLEY
June 1, 2009 - May 14, 2019
MORGAN STANLEY
August 3, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 15, 1997 - April 2, 2007
MORGAN STANLEY DW 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 7TO
Date: 8/5/2022
General Securities Representative ExaminationSeries 6TO
Date: 8/5/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 8/5/2022
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 8/5/2022
Municipal Securities Representative ExaminationSeries 99TO
Date: 8/5/2022
Operations Professional ExaminationSeries 8
Date: 7/1/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
