Susan K. Holly
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 Kattner Holly, who also goes by Susan E Kattner, Susan Kattner, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1983. Susan had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2011 - September 30, 2021
ICD SECURITIES INC.
June 30, 2006 - June 15, 2011
INDEPENDENT FINANCIAL GROUP, LLC
May 9, 1988 - July 3, 2006
LPL FINANCIAL LLC
August 2, 1983 - May 19, 1988
PROFESSIONAL ASSET SECURITIES, INC.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
ICD SECURITIES INC.
CRD#: 134910 / SEC#: , 8-66870
Contact information
FINRA licenses (22 States and Territories)
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.
