Suzanne U. Welch
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 Updike Welch, who also goes by Suzanne Updike Martin, Suzanne Yates Martin, Suzanne Yates Updike, Suzanne Updike, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 2000. Suzanne had worked at 9 firms and has passed the Series 65, 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, 2011 - January 22, 2013
TRUIST INVESTMENT SERVICES, INC.
December 15, 2011 - January 22, 2013
TRUIST INVESTMENT SERVICES, INC.
June 22, 2011 - December 13, 2011
EDWARD JONES
June 22, 2011 - December 13, 2011
EDWARD JONES
May 11, 2010 - June 14, 2011
BB&T INVESTMENT SERVICES, INC.
January 20, 2010 - June 14, 2011
BB&T INVESTMENT SERVICES, INC.
March 19, 2008 - June 1, 2009
WILMINGTON BROKERAGE SERVICES COMPANY
July 9, 2007 - August 27, 2007
FSC SECURITIES CORPORATION
June 27, 2007 - August 27, 2007
FSC SECURITIES CORPORATION
May 10, 2005 - April 25, 2007
NUVEEN FUND ADVISORS, LLC
July 9, 2004 - April 24, 2007
NUVEEN SECURITIES, LLC
December 20, 2000 - July 6, 2004
LEHMAN BROTHERS INC.
April 10, 2000 - January 19, 2001
CARTER, TERRY & COMPANY, 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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
