Susan A. Weeks
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 A. Weeks, who also goes by Susan Anne Urquhart, Susan Weeks Urquhart, Susan Weeks Urquhart, Urquhart, Susan A Weeks, Susan Anne Weeks, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2001. Susan had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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
October 30, 2015 - December 6, 2024
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 2, 2012 - October 19, 2015
NORTHERN TRUST SECURITIES, INC.
May 11, 2011 - September 13, 2012
OSAIC INSTITUTIONS, INC.
June 27, 2008 - July 21, 2009
VOYA FINANCIAL PARTNERS, LLC
August 11, 2005 - March 11, 2008
GE INVESTMENT DISTRIBUTORS, INC
September 16, 2003 - February 3, 2005
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
June 20, 2001 - July 22, 2002
STATE STREET RESEARCH INVESTMENT SERVICES, 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
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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