Mary S. Vick
Professional summary
Mary Susan Vick, who also goes by Susan VIck, is a registered financial professional currently at SP SECURITIES LLC located in Houston, Texas.
Mary is registered as a RR (Registered Representative) and started their career in finance in 2010. Mary has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mary Susan Vick's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2015 - Present
SP SECURITIES LLC
Office #1: 6363 Woodway Dr Suite 1000, Houston, TX 77057May 30, 2013 - March 16, 2015
WHITEHALL CAPITAL MARKETS LLC
April 7, 2010 - October 15, 2012
SMITH POINT CAPITAL LTD
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/24/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SP SECURITIES LLC
CRD#: 130560 / SEC#: , 8-66360
Contact information
FINRA licenses (15 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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