Suzanne C. Glossoti

NATWEST MARKETS SECURITIES

Stamford, CT 06901

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CRD#: 6008577

Professional summary

Suzanne C Glossoti, who also goes by Suzanne Glossoti, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.

Suzanne is registered as a RR (Registered Representative) and started their career in finance in 2012. Suzanne has worked at 1 firm and has passed the SIE and Series 99 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Suzanne Glossoti

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.

CRS (Client Relationship Summary) - BD

Click below to view Suzanne C Glossoti'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

March 23, 2012 - Present

NATWEST MARKETS SECURITIES INC.

Office #1: 600 Washington Boulevard, Stamford, CT 06901

CRD#: 11707

Stamford, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99

Date: 3/15/2012

Operations Professional Examination

SRO Registrations

FINRA

Current Firm

NATWEST MARKETS SECURITIES INC.

CRD#: 11707 / SEC#: , 8-37135

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

600 Washington Boulevard, Stamford, CT 06901

Mailing Address

600 Washington Boulevard, Stamford, CT 06901

Phone number

(203) 897-2700

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RBS HOLDINGS USA INC.	SHAREHOLDER
AUSBURN, MICHAEL THOMAS	DIRECTOR / CHIEF FINACIAL OFFICER	2523037
BROWER, LISA	SECRETARY, GENERAL COUNSEL	6177644
BUCCI, MICHELLE A	CHIEF OPERATING OFFICER	5192971
DESIMONE, LISA MARIE	CHIEF COMPLIANCE OFFICER	2691368
GIRARD, MICHELLE COLLEY	PRESIDENT / CHIEF EXECUTIVE OFFICER	2185240
ROOSE, SCOTT	DIRECTOR	2539705
SPEZZANO, CASEY RYAN	DIRECTOR	4678231

Disclosures

Regulatory Event	43
Civil Event	4

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