Susan L. Gregory
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 L Gregory, who also goes by Susan Walter, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1995. Susan had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 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
July 18, 2011 - December 24, 2014
SUMMIT BROKERAGE SERVICES, INC.
July 15, 2011 - December 24, 2014
SUMMIT FINANCIAL GROUP INC
June 29, 2007 - July 30, 2009
HSBC SECURITIES (USA) INC.
June 29, 2007 - July 30, 2009
HSBC SECURITIES (USA) INC.
July 24, 2006 - June 12, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 18, 2006 - June 12, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 14, 2005 - July 21, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
September 13, 2004 - October 31, 2005
QUEST CAPITAL STRATEGIES, INC.
July 20, 2000 - January 6, 2004
CADARET, GRANT & CO., INC.
April 21, 1998 - February 5, 1999
SECURITIES SERVICE NETWORK, LLC
March 14, 1995 - July 7, 2000
SECURITIES AMERICA, 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
Current Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
