Susan Kantor-tupp
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 Kantor-tupp, who also goes by Susan Kantor, Susan Tupp, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2007. Susan had worked at 2 firms and has passed the Series 65 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
December 9, 2013 - September 24, 2021
SOL CAPITAL MANAGEMENT CO
November 1, 2007 - January 11, 2008
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
SOL CAPITAL MANAGEMENT CO
CRD#: 110226 / SEC#: 801-29829
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
SOL CAPITAL MANAGEMENT CO
CRD#: 110226 / SEC#: 801-29829
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,105 |
| AUM (Assets Under Management) | $ 2,980,106,350 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/12/2025 | ||
| 09/09/2024 | ||
| 04/09/2024 | ||
| 10/20/2022 |
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.
