Sue Anne B. Eastep
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.
Sue Anne Bouromphongsa Eastep, who also goes by Sue Anne Bouromphongsa, Anne Eastep, was a registered financial professional .
Sue Anne is a previously registered financial professional and started their career in finance in 2000. Sue Anne had worked at 4 firms and has passed the Series 63, SIE, 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
March 5, 2013 - January 13, 2016
GREENHILL & CO., LLC
June 16, 2011 - March 20, 2013
CITIGROUP GLOBAL MARKETS INC.
November 9, 2007 - June 8, 2011
DEUTSCHE BANK SECURITIES INC.
August 22, 2002 - October 25, 2006
GREENHILL & CO., LLC
August 11, 2000 - May 15, 2002
ABN AMRO INCORPORATED
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
GREENHILL & CO., LLC
CRD#: 40290 / SEC#: , 8-49000
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENHILL & CO., INC. | OWNER | |
| DALY, BRENDAN GERARD | CHIEF COMPLIANCE OFFICER | 1823142 |
| FALEIRO, GITANJALI PINTO | GENERAL COUNSEL | 4250865 |
| KATZ, MICHAL | MANGING DIRECTOR - HEAD OF INVESTMENT BANKING | 2813944 |
| LASKY, MARK RICHARD | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6005542 |
| MIZUHO SECURITIES USA LLC | MANAGER | 19647 |
| RIZZIERI, GERALD ANTHONY | CHIEF EXECUTIVE OFFICER | 1751181 |
Disclosures
| Regulatory Event | 1 |
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.
