Souzan Haddad
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.
Souzan Haddad was a registered financial professional .
Souzan is a previously registered financial professional and started their career in finance in 2001. Souzan had worked at 5 firms and has passed the Series 66, 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
March 13, 2015 - August 10, 2016
CORECAP INVESTMENTS, LLC
September 24, 2014 - March 16, 2015
MML INVESTORS SERVICES, LLC
August 2, 2012 - October 2, 2012
SIGNATOR INVESTORS, INC.
February 22, 2002 - May 3, 2010
NYLIFE SECURITIES LLC
December 10, 2001 - January 25, 2002
EQUITABLE ADVISORS, LLC
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
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
