Karl D. Susman
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.
Karl David Susman was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 2000. Karl had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
December 1, 2014 - March 22, 2016
TLG ADVISORS, INC.
December 1, 2014 - March 22, 2016
THE LEADERS GROUP, INC.
August 8, 2011 - December 8, 2014
NEW ENGLAND SECURITIES
December 7, 2010 - December 8, 2014
NEW ENGLAND SECURITIES
March 5, 2004 - December 19, 2005
ASSOCIATED SECURITIES CORP.
February 5, 2004 - January 24, 2006
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
March 12, 2003 - December 19, 2005
ASSOCIATED SECURITIES CORP.
June 20, 2000 - November 8, 2001
ALLSTATE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
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
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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