Susan L. Mcroberts
Professional summary
Susan Lynn Mcroberts, who also goes by Susan Lynn Marron, Susan Lynn Mcroberts, Susan Lynn Mcroberts (marron), is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
Susan is registered as a RR (Registered Representative) and started their career in finance in 2001. Susan has worked at 13 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Lynn Mcroberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2024 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022September 28, 2020 - September 25, 2024
D.A. DAVIDSON & CO.
June 1, 2016 - October 5, 2020
JANNEY MONTGOMERY SCOTT LLC
October 9, 2012 - June 3, 2016
CANTOR FITZGERALD & CO.
May 24, 2011 - October 8, 2012
STERNE, AGEE & LEACH, INC.
February 17, 2010 - February 2, 2011
BARCLAYS CAPITAL INC.
April 23, 2007 - January 13, 2009
DEUTSCHE BANK SECURITIES INC.
March 24, 2006 - October 24, 2006
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - February 6, 2007
FRANKLIN DISTRIBUTORS, LLC
August 11, 2004 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
March 19, 2004 - July 9, 2004
IDS LIFE INSURANCE COMPANY
March 19, 2004 - July 9, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
May 9, 2001 - April 9, 2002
MORGAN STANLEY DW 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
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Exams
FINRA
Current Firm
SAMUEL A. RAMIREZ & COMPANY, INC.
CRD#: 6963 / SEC#: , 8-19014
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAR HOLDINGS, INC. | HOLDING COMPANY | |
| GOLDMAN, LAWRENCE F | MANAGING DIRECTOR | 1134640 |
| KICK, MICHAEL J | SR. VP/ CFO/ FIN OP | 4480676 |
| KOFFER, JOSEPH | CHIEF COMPLIANCE OFFICER | 6043686 |
| MAZZARO, VINCENT ANTHONY | COO | 2665339 |
| PERROTTA, THOMAS | MANAGING DIRECTOR | 1864851 |
| RAMIREZ, SAMUEL ALFRED | PRESIDENT & DIRECTOR/SECRETARY | 827095 |
| RAMIREZ,, SAMUEL ALFRED JR | MANAGING DIRECTOR | 2261054 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
