Susan J. Whelan
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 Janis Whelan was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2000. Susan had worked at 2 firms and has passed the Series 63, Series 66, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2012 - May 23, 2014
MANNING & NAPIER INVESTOR SERVICES, INC.
September 20, 2000 - July 27, 2001
UBS FINANCIAL 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
MANNING & NAPIER INVESTOR SERVICES, INC.
CRD#: 26266 / SEC#: , 8-42468
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANNING & NAPIER GROUP, LLC | OWNER | |
| CRAIG, ELIZABETH KIM | DIRECTOR | 5726029 |
| CRAIG, ELIZABETH KIM | CORPORATE SECRETARY | 5726029 |
| LAREW, SAMANTHA MARIE | CHIEF COMPLIANCE OFFICER | 4928353 |
| LINDENMUTH, VALERIE MAY | DIRECTOR | 4572179 |
| MORABITO, SCOTT JAMES | PRESIDENT/ DIRECTOR | 6838712 |
| MORABITO, SCOTT JAMES | PRINCIPAL OPERATIONS OFFICER | 6838712 |
| SERRA, CARL ANTHONY III | PRINCIPAL FINANCIAL OFFICER | 3179039 |
Red Flags
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