Susan J. Mastin
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 Jill Mastin, who also goes by Susan Jill Palmer, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2008. Susan had worked at 4 firms and has passed the Series 65, Series 63 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
April 26, 2012 - September 11, 2013
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
April 26, 2012 - September 11, 2013
CAPITAL INVESTMENT GROUP, INC.
May 18, 2010 - January 11, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2010 - January 11, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 27, 2008 - July 16, 2008
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
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
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
Contact information
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,619 |
| AUM (Assets Under Management) | $ 1,930,938,262 |
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.
