Susan E. Riordan
Professional summary
Susan Elizabeth Riordan is a registered financial professional currently at INVESTEC SECURITIES (US) LLC located in New York, New York.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1994. Susan has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Elizabeth Riordan's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 6, 2014 - Present
INVESTEC SECURITIES (US) LLC
Office #1: 10 East 53rd Street 22nd Floor, New York, NY 10022April 22, 2013 - May 6, 2014
NORTHLAND SECURITIES, INC.
April 11, 2012 - April 17, 2013
BLV SECURITIES
November 8, 1994 - April 17, 2012
CANACCORD GENUITY SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/6/2014)
(5/6/2014)
(5/6/2014)
(5/6/2014)
Exams
FINRA
Current Firm
INVESTEC SECURITIES (US) LLC
CRD#: 138421 / SEC#: , 8-67162
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA HOLDINGS CORP. | SOLE MEMBER | |
| GREEN, JONATHAN EVAN | GENERAL COUNSEL, MANAGER AND DIRECTOR | 7964267 |
| HADZIC, EMINA | CHIEF COMPLIANCE OFFICER (08/2025), CORPORATE SECRETARY (05/2022) | 6316232 |
| NAROV, STEVE | CHIEF FINANCIAL OFFICER, FINOP, PFO, POO, BRANCH OFFICE MANAGER AND GENERAL SECURITIES PRINCIPAL | 3060331 |
| ROSENBLUM, SCOTT S. | NON-EMPLOYEE DIRECTOR | 4251370 |
| SUMNER, NOEL JUSTIN | NON-EMPLOYEE DIRECTOR | 7448843 |
| VAN DER WALT, MARLE | NON-EMPLOYEE DIRECTOR | 7694588 |
Red Flags
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