Susan Christina
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 Christina, who also goes by Susan Smallwood, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1980. Susan had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, 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
May 23, 2011 - April 1, 2022
EQUITAS CAPITAL ADVISORS,LLC
June 1, 2006 - March 16, 2016
PURSHE KAPLAN STERLING INVESTMENTS
September 19, 2002 - December 11, 2003
PAN-AMERICAN INVESTMENT ADVISERS, INC.
September 4, 2002 - November 30, 2005
PAN-AMERICAN FINANCIAL ADVISERS
September 4, 1998 - September 9, 2002
PRUDENTIAL EQUITY GROUP, LLC
October 13, 1995 - September 1, 1998
UBS FINANCIAL SERVICES INC.
July 31, 1993 - September 1, 1995
CITIGROUP GLOBAL MARKETS INC.
June 21, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
January 1, 1988 - September 24, 1988
MORGAN STANLEY DW INC.
December 27, 1982 - February 19, 1988
E. F. HUTTON & COMPANY INC
October 24, 1980 - January 20, 1982
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
EQUITAS CAPITAL ADVISORS,LLC
CRD#: 124471 / SEC#: 801-61979
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: 9/29/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EQUITAS CAPITAL ADVISORS,LLC
CRD#: 124471 / SEC#: 801-61979
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 201,430,863 |
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.
