Susan Gorsky
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 Gorsky, who also goes by Susan Randy Gorsky, Susan Spitzer, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1995. Susan had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2018 - September 20, 2018
AUGUSTAR DISTRIBUTORS, INC.
April 7, 2016 - December 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
April 6, 2016 - December 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
April 2, 2013 - May 7, 2014
NATIONWIDE INVESTMENT ADVISORS, LLC
October 2, 2012 - May 7, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 13, 2010 - May 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 28, 2010 - May 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2008 - October 6, 2010
VOYA FINANCIAL PARTNERS, LLC
September 1, 2006 - August 29, 2008
VOYA RETIREMENT ADVISORS, LLC
October 19, 1999 - September 1, 2006
CITISTREET EQUITIES LLC
October 27, 1998 - July 27, 1999
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
May 23, 1995 - February 28, 1997
LINCOLN FINANCIAL DISTRIBUTORS, 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
AUGUSTAR DISTRIBUTORS, INC.
CRD#: 41081 / SEC#: , 8-49296
Contact information
FINRA licenses (42 States and Territories)
Documents
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.
