Susanne V. Arthur
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.
Susanne Vann Arthur, who also goes by Suzanne V Arthur, Susanne V Emery, Susanne Vann Emery, was a registered financial professional .
Susanne is a previously registered financial professional and started their career in finance in 1996. Susanne had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 4 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
April 21, 2011 - February 15, 2013
LCG CAPITAL ADVISORS, LLC
March 26, 2007 - March 3, 2009
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
October 10, 2006 - March 26, 2007
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
April 3, 2001 - October 10, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
May 21, 1997 - December 4, 2000
CAPTRUST FINANCIAL ADVISORS, LLC
April 30, 1996 - May 9, 1997
RAYMOND JAMES FINANCIAL SERVICES, 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
LCG CAPITAL ADVISORS, LLC
CRD#: 129311 / SEC#: , 8-66213
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
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.
