Susan Kuang
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 Kuang was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2024. Susan had worked at 2 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2024 - January 8, 2025
WOLVERINE EXECUTION SERVICES, LLC
August 19, 2024 - January 8, 2025
WOLVERINE TRADING, LLC
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 99TO
Date: 8/17/2024
Operations Professional ExaminationCurrent Firm
WOLVERINE EXECUTION SERVICES, LLC
CRD#: 120719 / SEC#: , 8-65336
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOLVERINE TRADING, LLC | LIMITED LIABILITY CORPORATION | 36848 |
| CAVICKE, DAVID | CHIEF LEGAL COUNSEL | 6027073 |
| KULA, JUDITH MARIE | CHIEF FINANCIAL OFFICER FINOP | 1255502 |
| MURPHY, PATRICK TIMOTHY | CHIEF OPERATING OFFICER/EXECUTIVE REPRESENTATIVE | 2057769 |
| MURRAY, CRAIG JOHN | CHIEF COMPLIANCE OFFICER | 6136205 |
| SOWERS, BRAD ALLEN | ROSFP | 2530780 |
Disclosures
| Regulatory Event | 43 |
Red Flags
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