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SE

Susan L. Ellerbrook

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CRD#: 2601238
SE

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 Lynne Ellerbrook, who also goes by Susan Lynne Stamper, was a registered financial advisor .

Susan is a previously registered financial advisor and started their career in finance in 1995. Susan had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan Lynne Stamper

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 9, 2006 - January 27, 2014

CITY SECURITIES CORPORATION

RIA
CRD#: 1459
INDIANAPOLIS, IN
Past

July 16, 2002 - January 27, 2014

CITY SECURITIES CORPORATION

BD
CRD#: 1459
INDIANAPOLIS, IN
Past

December 6, 2001 - July 2, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
INDIANAPOLIS, IN
Past

April 18, 2000 - July 2, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 11, 1999 - May 3, 2000

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

January 4, 1999 - January 7, 1999

NATCITY INSURANCE SERVICES, INC.

BD
CRD#: 16989
CLEVELAND, OH
Past

August 25, 1998 - January 4, 1999

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

November 18, 1997 - January 7, 1999

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

May 12, 1995 - January 30, 1996

NATIONAL CITY INVESTMENTS CORPORATION

BD
CRD#: 17365

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
IAR
Series 65
Date: 7/10/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/5/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/1995
General Securities Representative Examination

Current Firm

CS
CITY SECURITIES CORPORATION
BURNETT JACOBSON FINANCIAL GROUP | TANNER WEALTH MANAGEMENT | STROUSE KELLER INCOME ADVISORS | SAGAMORE FINANCIAL GROUP | RAINES/DIETZ ADVISORY TEAM | PRATT INVESTMENT GROUP | PERRY RAINES GROUP | PATHWAY ADVISORY GROUP | MINAS SABAU PORTERFIELD GROUP | MAINSTAY WEALTH MANAGEMENT GROUP | LEGACY FINANCIAL GROUP | JACK PERRY WEALTH MANAGEMENT | ENDEAVOR INVESTMENT SOLUTIONS | CITY WEALTH ADVISORS | CITY SECURITIES CORPORATION

CRD#: 1459 / SEC#: 801-67527, 8-975

BD
Terminated by SEC on 09/18/2017
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Contact information

Main Address
30 South Meridian Street Suite 600, Indianapolis, IN 46204-3573
Mailing Address
Phone number
Established
Indiana since 01/01/1925
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A - APPENDIX 1 - WRAP BROCHURE (12/19/2016)
ADV PART 2A - FIRM BROCHURE (12/19/2016)

Direct owners and executive officers

NamePositionCRD#
CITY SECURITIES, LLCHOLDING COMPANY
OLSEN, JOHN GERALDCCO1395283

Disclosures

Regulatory Event14

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

CITY SECURITIES CORPORATION

CRD#: 1459

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