Susan Walsh
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 Walsh, who also goes by Susan M Walsh, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1980. Susan had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 15, Series 5, 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
February 3, 2009 - June 4, 2024
FRANKLIN DISTRIBUTORS, LLC
May 5, 1989 - March 18, 2008
NEUBERGER BERMAN MANAGEMENT LLC
August 22, 1988 - November 28, 1988
EQUITIES INTERNATIONAL SECURITIES, INC.
March 4, 1986 - August 24, 1988
BLINDER, ROBINSON & CO., INC.
June 1, 1981 - January 16, 1986
LEHMAN BROTHERS INC.
June 26, 1980 - April 4, 1981
MOORE & SCHLEY, CAMERON & CO.
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 15
Date: 12/14/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
