Susan M. Walker
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 Walker, who also goes by Susan Dean, Susan Marie Wageli, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1979. Susan had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2014 - September 1, 2015
INVESTORS CAPITAL CORP.
September 16, 2014 - September 1, 2015
INVESTORS CAPITAL CORP.
December 21, 2010 - November 17, 2012
TIDEWATER WEALTH ADVISORS
September 25, 1991 - January 4, 1994
STERNE, AGEE & LEACH, INC.
October 14, 1988 - September 30, 1991
WACHOVIA SECURITIES, INC.
October 29, 1979 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., 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
Series 8
Date: 10/5/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
