Susan E. Harriman
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 Elizabeth Harriman, who also goes by Susan E Harriman, Susan Elizabeth Holdsclaw, Susan Holdsclaw, Susie Holdsclaw, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1997. Susan had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, 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
June 14, 2017 - December 31, 2020
COLONY PARK FINANCIAL SERVICES LLC.
June 13, 2017 - May 22, 2020
SANDLAPPER SECURITIES, LLC
April 4, 2011 - June 17, 2015
WESTPARK WEALTH ADVISORS, INC.
April 4, 2011 - June 17, 2015
IMS SECURITIES, INC.
November 11, 2009 - April 4, 2011
WFG ADVISORS, LP
November 11, 2009 - April 4, 2011
WFG INVESTMENTS, INC.
November 14, 2007 - November 9, 2009
MILKIE/FERGUSON INVESTMENTS, INC.
September 17, 2007 - November 9, 2009
MILKIE/FERGUSON INVESTMENTS, INC.
January 24, 2005 - September 25, 2007
HILLTOP SECURITIES INC.
January 24, 2005 - September 25, 2007
HILLTOP SECURITIES INC.
May 8, 2003 - January 21, 2005
HODGES CAPITAL MANAGEMENT INC
May 6, 2003 - January 21, 2005
FIRST DALLAS SECURITIES INCORPORATED
July 3, 2001 - May 6, 2003
J.P. MORGAN SECURITIES LLC
June 21, 2000 - June 13, 2001
MORGAN STANLEY DW INC.
October 30, 1998 - June 13, 2000
KEYBANC CAPITAL MARKETS INC.
October 31, 1997 - November 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 1997 - November 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 7TO
Date: 4/26/2024
General Securities Representative ExaminationSeries 79TO
Date: 4/26/2024
Investment Banking Registered Representative ExaminationCurrent Firm
COLONY PARK FINANCIAL SERVICES LLC.
CRD#: 41534 / SEC#: 801-79219, 8-49478
Contact information
Red Flags
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