Susan H. Anderson
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.
Susan H Anderson, CFP®, who also goes by Sue H Anderson, Sue Hikyung Anderson, Sue Anderson, Susan H Anderson, Susan Hikyung Anderson, Susan Hikyung Lee, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2003. Susan had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2021 - May 24, 2022
CAPFINANCIAL SECURITIES, LLC.
May 12, 2021 - May 24, 2022
CAPTRUST
July 26, 2011 - March 15, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
March 14, 2003 - June 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 14, 2003 - June 28, 2011
OSAIC FA, 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
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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