Susan A. Jennings
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 Ann Jennings, who also goes by Susan Ann Porter, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1999. Susan had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2000 - December 31, 2014
GOLDK INVESTMENT SERVICES, INC
February 8, 1999 - July 12, 2000
GUARANTY BROKERAGE 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
Series 11
Date: 2/5/1999
Assistant Representative-Order Processing Qualification ExamCurrent Firm
GOLDK INVESTMENT SERVICES, INC
CRD#: 15514 / SEC#: , 8-32296
Contact information
Documents
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.
