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SU

Susan Y. U

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CRD#: 2559770
SU

Professional summary

Susan Young U was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Susan is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Susan had worked at 7 firms, which includes CARLIN EQUITIES LLC, HUDSON SECURITIESINC., NEUTRAL SWITCH INC., F1 TRADING.COM INC., BG CAPITAL INC., CASTLE SECURITIES CORP., ROYCE INVESTMENT GROUP INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan U

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

February 1, 1999 - January 8, 2002

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

November 1, 1998 - February 1, 1999

HUDSON SECURITIES,INC.

BD
CRD#: 10467
JERSEY CITY, NJ
Past

July 11, 1997 - June 30, 1998

NEUTRAL SWITCH, INC.

BD
CRD#: 37648
GREAT NECK, NY
Past

July 7, 1997 - October 23, 1998

F1 TRADING.COM, INC.

BD
CRD#: 20375
MINEOLA, NY
Past

December 18, 1996 - June 18, 1997

BG CAPITAL, INC.

BD
CRD#: 31069
SYOSSET, NY
Past

July 18, 1996 - December 13, 1996

CASTLE SECURITIES CORP.

BD
CRD#: 16077
FREEPORT, NY
Past

November 18, 1994 - August 25, 1995

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, NY

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
Series 63
Date: 11/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/9/1996
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/21/1996
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/1996
General Securities Principal Examination

Current Firm

CE
CARLIN EQUITIES, LLC
CARLIN EQUITIES CORP. | INVESTOR'S OPTION CO., INC. | CARLIN EQUITIES, LLC

CRD#: 31295 / SEC#: , 8-40963

BD
Terminated by SEC on 09/10/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/26/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CARLIN GROUP LLCOWNER OF CARLIN EQUITIES LLC
BERNSTEIN, SAMUEL HCHIEF STRATEGIC OFFICER2183676
FEIG, ROBERTVICE PRESIDENT, SALES871895
FROMMER, JEREMY PHILLIPPRESIDENT2099159
FROMMER, JEREMY PHILLIPCHIEF EXECUTIVE OFFICER2099159
PORTNOI, ALAN SCOTTMANAGING DIRECTOR, INSTITUTIONAL SALES1537825
SHAH, UPENDRA KANTILALCHIEF INFORMATION OFFICER
SHEAR, RONALD HENRYCHAIRMAN420846

Disclosures

Regulatory Event8
Arbitration4

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

CARLIN EQUITIES, LLC

CRD#: 31295

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