Susan S. Martin
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 Shemer Martin, who also goes by Susan Mary Martin, Susan M Shemer, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1980. Susan had worked at 19 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 53 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
January 4, 2017 - March 3, 2025
NAVY FEDERAL INVESTMENT SERVICES, LLC
May 6, 2009 - January 4, 2017
NAVY FEDERAL ASSET MANAGEMENT, LLC
May 12, 2008 - March 3, 2025
NAVY FEDERAL INVESTMENT SERVICES, LLC
December 10, 2003 - April 7, 2008
MSI FINANCIAL SERVICES, INC.
November 17, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 17, 2003 - April 7, 2008
MSI FINANCIAL SERVICES, INC.
October 3, 2002 - November 20, 2003
SIGNATOR FINANCIAL SERVICES, INC.
July 8, 2002 - October 11, 2002
IFMG SECURITIES, INC.
September 18, 2000 - October 11, 2002
IFMG SECURITIES, INC.
February 18, 1998 - September 6, 2000
FISERV INVESTOR SERVICES, INC.
November 10, 1997 - February 18, 1998
AEGON USA SECURITIES INC.
November 4, 1997 - November 6, 1997
DFC INVESTOR SERVICES
August 4, 1994 - November 11, 1997
SECU BROKERAGE SERVICES
March 11, 1991 - June 30, 1994
UNITED PACIFIC SECURITIES, INC.
June 21, 1989 - May 25, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 9, 1987 - May 10, 1989
AGFC INVESTMENT SECURITIES
November 19, 1986 - July 30, 1987
GRANITE CAPITAL
February 25, 1986 - November 3, 1986
ROBERT THOMAS SECURITIES, INC
February 25, 1986 - September 1, 1989
HIMCO DISTRIBUTION SERVICES COMPANY
April 26, 1985 - February 27, 1986
LPL FINANCIAL LLC
March 13, 1984 - October 11, 1984
ROBERT THOMAS SECURITIES, INC
May 26, 1983 - March 8, 1984
PRUDENTIAL EQUITY GROUP, LLC
March 19, 1980 - March 16, 1983
J.J.B. HILLIARD, W.L. LYONS, LLC
Primary Firm SEC Registration
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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