Susan M. Henry
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 Miller Henry, who also goes by Susan Lynn Henry, Susan Lynn Hery, Susan Lynn Miller, 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 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2003 - December 11, 2020
GIT INVESTMENT SERVICES, INC.
January 13, 2001 - December 20, 2001
DEUTSCHE BANK SECURITIES INC.
June 1, 2000 - January 13, 2001
DB ALEX. BROWN LLC
July 29, 1999 - April 3, 2000
PEGASUS CAPITAL CORPORATION
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
GIT INVESTMENT SERVICES, INC.
CRD#: 13818 / SEC#: , 8-27394
Contact information
FINRA licenses (6 States and Territories)
Documents
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.
