Susan Z. Hothersall
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 Zurbin Hothersall, who also goes by Susan Celia Zurbin, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1980. Susan had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2014 - December 14, 2015
J.W. COLE FINANCIAL, INC.
January 17, 2003 - November 21, 2012
CREDIT SUISSE SECURITIES (USA) LLC
July 21, 1980 - January 17, 2003
PERSHING LLC
April 23, 1980 - June 22, 1980
MELHADO, FLYNN & ASSOCIATES, 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 8
Date: 4/27/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
