Susana Moreno
Professional summary
Susana Moreno is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Tarrytown, New York.
Susana is registered as a RR (Registered Representative) and started their career in finance in 2012. Susana has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susana Moreno's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 120 White Plains Road Suite 115, Tarrytown, NY 10591March 6, 2020 - April 1, 2021
PRIVATE CLIENT SERVICES, LLC
April 3, 2018 - February 11, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
November 21, 2017 - April 4, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 13, 2016 - August 7, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
April 2, 2012 - November 10, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/1/2021)
Exams
FINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
