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SR

Susan H. Richard

QUANTLAB BROKERAGE
Houston, TX 77046
Some features on this profile are disabled
CRD#: 7665158
SR

Professional summary

Susan Helen Richard, who also goes by Susan May, Susan Richard, is a registered financial professional currently at QUANTLAB BROKERAGE, LLC located in Houston, Texas.

Susan is registered as a RR (Registered Representative) and started their career in finance in 2023. Susan has worked at 1 firm and has passed the Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan May | Susan Richard

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Helen Richard's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 19, 2023 - Present

QUANTLAB BROKERAGE, LLC

Office #1: 3 Greenway Plaza Suite 200, Houston, TX 77046
BD
CRD#: 299468
Houston, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/18/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 12/12/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

QB
QUANTLAB BROKERAGE, LLC
QUANTLAB BROKERAGE, LLC

CRD#: 299468 / SEC#: , 8-70274

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
3 Greenway Plaza Suite 200, Houston, TX 77046
Mailing Address
3 Greenway Plaza Suite 200, Houston, TX 77046
Phone number
(713) 400-5440
Established
Delaware since 09/26/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
QUANTLAB BROKERAGE HOLDINGS, LLCSOLE MEMBER
LEE, VICTORCFO/FINOP/COO6981417
ROBERTSON, JAMES SEEARCHIEF COMPLIANCE OFFICER, CEO, AMLCO, DESIGNATED PRINCIPAL6165573

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.

Company Information

QUANTLAB BROKERAGE, LLC

CRD#: 299468Houston, TX 77046

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