Susan M. Corcoran
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 Mary Corcoran was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1995. Susan had worked at 8 firms and has passed the 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
January 31, 2014 - July 3, 2017
IRC SECURITIES LLC
November 25, 2011 - July 24, 2012
RODMAN & RENSHAW, LLC
February 29, 2008 - July 1, 2011
RBC CAPITAL MARKETS, LLC
February 6, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
August 4, 2003 - February 6, 2004
RBC CAPITAL MARKETS, LLC
October 1, 1999 - March 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 23, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
July 30, 1997 - October 13, 1998
UBS FINANCIAL SERVICES INC.
April 10, 1995 - August 21, 1996
AMUNDI DISTRIBUTOR US, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
IRC SECURITIES LLC
CRD#: 150022 / SEC#: , 8-68208
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
