Susan M. Lemoine
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 Marie Lemoine was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1978. Susan had worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 53, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2007 - December 31, 2022
TRUST ADVISORY GROUP LTD
November 19, 1996 - November 18, 2024
AGES FINANCIAL SERVICES, LTD.
September 26, 1995 - August 29, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 7, 1994 - January 30, 1995
VERAVEST INVESTMENTS, INC.
October 29, 1980 - May 17, 1993
FIDELITY BROKERAGE SERVICES LLC
November 1, 1978 - January 23, 1980
HOLDEN & COMPANY, INC.
Primary Firm SEC Registration
TRUST ADVISORY GROUP LTD
CRD#: 106926 / SEC#: 801-46919
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 5/11/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRUST ADVISORY GROUP LTD
CRD#: 106926 / SEC#: 801-46919
Contact information
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,720 |
| AUM (Assets Under Management) | $ 494,407,359 |
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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