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Information

Other Names: Susan Elizabeth Holdsclaw, Susan Holdsclaw, Susie Holdsclaw
Firm:
Additional Firm:
Type: Dual Registration
Description

Susan Harriman is a financial professional at Ims Securities, Inc., a broker-dealer with 103 registered representatives nationwide. Susan is also registered with Ims Financial Advisors, Inc., an $85M RIA. Susan has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Susan E Harriman has not answered any questions on Financial Q&A.

Top Guides

Susan E Harriman has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Ims Securities, Inc. 3 years Apr 2011 - Present
Ims Financial Advisors, Inc. 3 years Apr 2011 - Present
Wfg Investments, Inc. 1 year, 5 months Nov 2009 - Apr 2011
Southwest Securities, Inc. 4 years, 10 months Jan 2005 - Nov 2009
First Dallas Securities Incorporated 1 year, 8 months May 2003 - Jan 2005
Hodges Capital Mangement Inc 1 year, 8 months May 2003 - Jan 2005
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 10/09/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Criminal Disclosure

1 Financial Disclosure

1 Customer Dispute

1 Criminal Disclosure

1 Financial Disclosure

As of Date
10/09/2012
02/06/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 02/21/1997
Uniform Securities Agent State Law Examination Series 63 02/03/1997
General Securities Representative Examination Series 7 01/20/1997

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees