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SM

Susan E. Miller

M&A SECURITIES GROUP
Kansas City, MO 64116
Some features on this profile are disabled
CRD#: 4974640
SM

Professional summary

Susan Elaine Miller, who also goes by Susan Elaine Sherman, Susan Sherman, is a registered financial professional currently at M&A SECURITIES GROUP, INC. located in Kansas City, Missouri.

Susan is registered as a RR (Registered Representative) and started their career in finance in 2006. Susan has worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan Elaine Sherman | Susan Sherman

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 Elaine Miller'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

September 27, 2018 - Present

M&A SECURITIES GROUP, INC.

Office #1: 4151 N. Mulberry Drive Suite 252, Kansas City, MO 64116
BD
CRD#: 39999
Kansas City, MO
Past

January 23, 2006 - March 29, 2007

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
AUSTIN, TX

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(3/31/2025)
RR
Illinois
(8/12/2025)
RR
New York
(7/17/2025)
RR
Texas
(9/27/2018)
RR
Wyoming
(5/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/27/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MS
M&A SECURITIES GROUP, INC.
M&A SECURITIES GROUP, INC. | TOWER BROKERAGE SERVICES, INC.

CRD#: 39999 / SEC#: , 8-48926

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
4151 N. Mulberry Drive Suite 252, Kansas City, MO 64116
Mailing Address
4151 N. Mulberry Drive Suite 252, Kansas City, MO 64116
Phone number
(816) 888-7920
Established
Kansas since 12/18/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (48 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PASTORINO, JESSICA BROOKPRESIDENT, CCO5230374
BURCH, JACOB RANDALOWNER6049983
BURCH, JENIFER LOUFINANCIAL AND OPERATIONS PRINCIPAL5796387

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

M&A SECURITIES GROUP, INC.

CRD#: 39999Kansas City, MO 64116

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