Susan L. Lindman
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 Loraine Lindman, who also goes by Susan Loraine Nankervis, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1981. Susan had worked at 3 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2007 - November 16, 2017
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 1, 2003 - January 18, 2007
INVESCO DISTRIBUTORS, INC.
February 2, 1981 - September 1, 2003
INVESCO DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil 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.
