Louis S. Susino
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.
Louis Salvatore Susino was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 2002. Louis had worked at 17 firms and has passed the Series 63, 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 9, 2015 - April 21, 2015
LEGEND SECURITIES, INC.
September 9, 2014 - October 17, 2014
EMPIRE STATE FINANCIAL, INC.
May 5, 2014 - June 13, 2014
NATIONAL SECURITIES CORPORATION
March 7, 2014 - May 21, 2014
WOODSTOCK FINANCIAL GROUP, INC.
November 5, 2013 - February 26, 2014
JOSEPH STONE CAPITAL L.L.C.
August 28, 2012 - April 4, 2013
WILMINGTON CAPITAL SECURITIES, LLC
January 12, 2012 - January 19, 2012
MM GLOBAL SECURITIES, INC.
November 14, 2011 - January 9, 2012
ALLIED MILLENNIAL PARTNERS, LLC
March 24, 2011 - March 28, 2011
BROOKVILLE CAPITAL PARTNERS
November 1, 2010 - July 13, 2011
BLACKBOOK CAPITAL, LLC
March 8, 2010 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
September 25, 2009 - March 9, 2010
EKN FINANCIAL SERVICES INC.
August 17, 2009 - October 16, 2009
J.P. TURNER & COMPANY, L.L.C.
February 18, 2009 - April 13, 2009
J.P. TURNER & COMPANY, L.L.C.
August 4, 2008 - March 20, 2009
EKN FINANCIAL SERVICES INC.
August 10, 2007 - November 6, 2007
MAXIM GROUP LLC
June 28, 2002 - July 8, 2002
BENSON YORK GROUP, INC.
April 16, 2002 - July 23, 2002
LADENBURG CAPITAL MANAGEMENT INC.
March 25, 2002 - April 12, 2002
HARRISON 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
Exams
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
