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Stephen D. Susano

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CRD#: 2359716
SS

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.

Stephen David Susano was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 30 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 9, 2014 - December 31, 2018

FOURBRIDGES SECURITIES, LLC

BD
CRD#: 150806
CHATTANOOGA, TN
Past

February 15, 2013 - December 20, 2013

OCP CAPITAL, LLC

BD
CRD#: 143381
WELLINGTON, FL
Past

June 29, 2012 - October 1, 2012

OLD CITY PARTNERS LLC

RIA
CRD#: 139582
CLIFTON, NJ
Past

April 11, 2012 - August 15, 2012

J.H. DARBIE & CO., INC.

BD
CRD#: 43520
NEW YORK, NY
Past

August 6, 2010 - October 10, 2011

STEBEN & COMPANY, LLC

BD
CRD#: 117808
EXCELSIOR, MN
Past

March 22, 2010 - August 9, 2010

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
ST LOUIS, MO
Past

June 8, 2004 - May 30, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
TAMPA, FL
Past

May 25, 2004 - May 30, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
TAMPA, FL
Past

September 14, 2001 - October 31, 2003

ADVANCED INVESTMENT PARTNERS

RIA
CRD#: 106773
CLEARWATER, FL
Past

July 31, 2001 - October 31, 2003

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

May 15, 2000 - November 6, 2000

LEXINGTON FUNDS DISTRIBUTOR, INC.

BD
CRD#: 8194
SCOTTSDALE, AZ
Past

March 16, 2000 - June 15, 2000

LONDON PACIFIC SECURITIES, INC.

BD
CRD#: 25089
SACRAMENTO, CA
Past

August 30, 1993 - April 5, 1999

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL

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
IAR
Series 66
Date: 4/6/2010
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/9/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/7/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 9/20/2010
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/27/2004
General Securities Principal Examination

Current Firm

FS
FOURBRIDGES SECURITIES, LLC
FOURBRIDGES CAPITAL ADVISORS, LLC | FOURBRIDGES SECURITIES, LLC

CRD#: 150806 / SEC#: , 8-68298

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
735 Broad Street, Suite 1204, Chattanooga, TN 37402
Mailing Address
735 Broad Street, Suite 1204, Chattanooga, TN 37402
Phone number
(423) 266-7490
Established
Tennessee since 03/25/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FOURBRIDGES HOLDINGS, LLCOWNER
ROWE, CHRISTOPHER DOUGLASFINOP, CFO, CHIEF COMPLIANCE OFFICER5324883
STOCKETT, CLAYTON ANDREWCEO, MANAGING PARTNER1252131

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

FOURBRIDGES SECURITIES, LLC

CRD#: 150806

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