Susan P. Marron
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 Pauline Marron, who also goes by Sue Gulotta, Susan Pauline Gulotta, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1999. Susan had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 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
January 21, 2015 - January 30, 2015
E*TRADE FUTURES LLC
December 14, 2007 - January 21, 2015
OPTIONSHOUSE1, LLC
October 31, 2003 - December 10, 2007
PEAK6 CAPITAL MANAGEMENT LLC
June 2, 1999 - December 3, 2001
HULL TRANSACTION SERVICES, L.L.C.
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
Series 55
Date: 8/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
E*TRADE FUTURES LLC
CRD#: 145562 / SEC#: , 8-67735
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | PARENT CO./SOLE SHAREHOLDER | |
| HERMANN, JAMES CLIFFORD | CHIEF COMPLIANCE OFFICER | 1697681 |
Disclosures
| Regulatory Event | 3 |
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.
