Suzanne M. Skipper
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.
Suzanne M Skipper, who also goes by Suzanne Michelle Skipper, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1997. Suzanne had worked at 8 firms and has passed the Series 66, Series 63, 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
December 15, 2010 - June 27, 2012
DAWSON JAMES SECURITIES, INC.
September 16, 2010 - December 21, 2010
LEGEND MERCHANT GROUP, INC.
February 22, 2010 - September 13, 2010
SHORELINE PACIFIC, LLC
August 11, 2009 - August 31, 2009
WADDELL & REED
August 7, 2009 - August 31, 2009
WADDELL & REED
January 26, 2005 - January 12, 2009
MERRIMAN CAPITAL, INC.
February 11, 2003 - September 16, 2004
CARIS & COMPANY, INC.
October 1, 1997 - July 2, 2001
BANC OF AMERICA SECURITIES LLC
May 8, 1997 - October 1, 1997
MONTGOMERY SECURITIES
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 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.
