Susan Swanezy
Professional summary
Susan Swanezy, who also goes by Susan Klinges, Susan Leboutillier, is a registered financial professional currently at HODES WEILL SECURITIES, LLC 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 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Swanezy's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 30, 2010 - Present
HODES WEILL SECURITIES, LLC
Office #1: 825 Third Avenue 15th Floor, New York, NY 10022Office #2: 825 Third Ave 15th Floor, New York, NY 10022September 22, 2008 - December 31, 2009
CREDIT SUISSE SECURITIES (USA) LLC
December 15, 2003 - October 1, 2007
DEAM INVESTOR SERVICES, INC.
July 9, 2001 - May 10, 2004
DEUTSCHE BANK SECURITIES 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
(1/2/2014)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HODES WEILL SECURITIES, LLC
CRD#: 131848 / SEC#: , 8-66518
Contact information
FINRA licenses (44 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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