Suzanne K. Reas
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.
Suzanne Kay Reas, who also goes by Sue Kay Reas Mrs, Sue Kay Short Miss, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 2007. Suzanne had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2012 - October 17, 2016
CHARTER ADVISORY CORPORATION
October 15, 2012 - September 8, 2016
LPL FINANCIAL LLC
December 17, 2008 - October 25, 2012
CENTAURUS FINANCIAL, INC.
December 8, 2008 - October 25, 2012
CENTAURUS FINANCIAL, INC.
December 12, 2007 - July 30, 2008
SIGMA FINANCIAL CORPORATION
Primary Firm SEC Registration
CHARTER ADVISORY CORPORATION
CRD#: 113390 / SEC#: 801-119736
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
CHARTER ADVISORY CORPORATION
CRD#: 113390 / SEC#: 801-119736
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,002 |
| AUM (Assets Under Management) | $ 366,305,467 |
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.
