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SM

Susan P. Marshall

LUMA SECURITIES LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 4451650
SM

Professional summary

Susan P Marshall, who also goes by Susan Palmer Marshall, is a registered financial professional currently at LUMA SECURITIES LLC located in New York, New York.

Susan is registered as a RR (Registered Representative) and started their career in finance in 2020. Susan has worked at 1 firm and has passed the SIE and Series 99TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan Palmer Marshall

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan P Marshall's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 17, 2020 - Present

LUMA SECURITIES LLC

Office #1: 101 Fifth Avenue Suite 900, New York, NY 10003Office #2: 101 Fifth Avenue Suite 900, New York, NY 10003
BD
CRD#: 157803
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 7/17/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 6/19/2020
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LUMA SECURITIES LLC
LUMA ADVISORS LLC | LUMA SECURITIES LLC

CRD#: 157803 / SEC#: , 8-68863

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
101 Fifth Avenue Suite 900, New York, NY 10003
Mailing Address
101 Fifth Avenue Suite 900, New York, NY 10003
Phone number
(646) 786-8423
Established
Delaware since 08/24/2010
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LUMA PARTNERS LLCMANAGING MEMBER
BECK, RAFAELFINOP / CFO5718571
KAWAJA, TERENCE GERARDCEO/CCO1982614

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.

Company Information

LUMA SECURITIES LLC

CRD#: 157803New York, NY 10003

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