Susan S. Williams
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 Sharon Williams, who also goes by Sue Davis, Susan Sharon Davis, Susan Davis, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1976. Susan had worked at 3 firms and has passed the Series 63, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 1987 - March 27, 1989
CIMMARON SECURITIES CORPORATION
May 19, 1981 - March 30, 1987
MICHAEL C. TALLEY & CO., INC.
August 2, 1976 - May 6, 1978
WILLIAM J. GREEN & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
F04
Date: 12/18/1976
Financial Principal ExaminationSeries 40
Date: 7/24/1976
Registered Principal ExaminationCurrent Firm
CIMMARON SECURITIES CORPORATION
CRD#: 17107 / SEC#: , 8-35072
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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