Susan C. Daub
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 Caras Daub, who also goes by Sue Caras, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1995. Susan had worked at 6 firms and has passed the Series 63 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
August 1, 2007 - April 7, 2010
MORGAN KEEGAN & COMPANY, LLC
February 7, 2005 - February 9, 2007
TOWER SQUARE SECURITIES, INC.
January 3, 2005 - January 20, 2005
RAMPART FINANCIAL SERVICES, INC.
July 28, 2004 - November 30, 2004
RAMPART FINANCIAL SERVICES, INC.
June 20, 2003 - June 2, 2004
TOWER SQUARE SECURITIES, INC.
November 7, 2000 - June 19, 2003
INVESTORS CAPITAL CORP.
May 10, 1999 - November 2, 2000
CENTENNIAL CAPITAL MANAGEMENT, INC.
November 20, 1995 - November 9, 1999
PRINCIPAL SECURITIES, 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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
