Susan B. Williams
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 Brown Williams, who also goes by Susan Patrice Brown, Susan Brown Williams Ms, Susan Williams, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2000. Susan had worked at 11 firms and has passed the Series 66, Series 63, 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
December 15, 2015 - February 2, 2016
FORESTERS FINANCIAL SERVICES, INC.
March 3, 2015 - September 8, 2015
OSAIC SERVICES, INC.
January 31, 2014 - March 17, 2014
NATIONWIDE SECURITIES, LLC
February 6, 2013 - September 5, 2013
NYLIFE SECURITIES LLC
September 24, 2012 - November 8, 2012
NATIONAL PLANNING CORPORATION
September 19, 2012 - November 8, 2012
NATIONAL PLANNING CORPORATION
March 12, 2012 - August 8, 2012
WELLS FARGO CLEARING SERVICES, LLC
March 12, 2012 - August 8, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 23, 2011 - January 25, 2012
PRINCIPAL SECURITIES, INC.
November 17, 2011 - January 25, 2012
PRINCIPAL SECURITIES, INC.
April 18, 2011 - November 11, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
April 18, 2011 - November 11, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
November 24, 2010 - April 13, 2011
ALLSTATE FINANCIAL ADVISORS, LLC
November 24, 2010 - April 13, 2011
ALLSTATE FINANCIAL SERVICES, LLC
September 29, 2008 - October 22, 2010
EDWARD JONES
September 22, 2000 - October 22, 2010
EDWARD JONES
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
FORESTERS FINANCIAL SERVICES, INC.
CRD#: 305 / SEC#: , 8-13891
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Civil Event | 3 |
| Arbitration | 18 |
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.
