Susan C. Rupert
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 Carol Rupert, who also goes by Susan Carol Freed, Susan Carol Rupert Freed, Susan Carol Rupert Hodges Freed, Susan Carol Hodges, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1979. Susan had worked at 8 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 1989 - August 28, 1991
J. W. GANT & ASSOCIATES, INC.
January 4, 1988 - April 24, 1989
TRI-BRADLEY INVESTMENTS
September 23, 1986 - November 4, 1987
B.C. CHRISTOPHER SECURITIES CO.
October 5, 1984 - August 25, 1986
THOMSON MCKINNON SECURITIES INC.
September 21, 1982 - September 10, 1984
MORGAN STANLEY DW INC.
November 4, 1981 - June 9, 1982
OTC NET INCORPORATED
March 18, 1981 - August 24, 1981
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
August 2, 1979 - April 26, 1981
BOETTCHER & COMPANY, INC.
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
Current Firm
J. W. GANT & ASSOCIATES, INC.
CRD#: 7963 / SEC#: , 8-30910
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
