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Susan E Harriman

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Other Names: Susan Elizabeth Holdsclaw, Susan Holdsclaw, Susie Holdsclaw
Additional Firm:
Type: SEC and FINRA Registered

Susan Harriman is a financial professional at Ims Securities, Inc., a broker-dealer with 107 registered representatives nationwide. Susan is also registered with Ims Financial Advisors, Inc., a $90M RIA based in North Houston, TX. Susan has held an industry securities registration for 18 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Ims Securities, Inc. 4 years, 1 month Apr 2011 - Present
Ims Financial Advisors, Inc. 4 years, 1 month 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
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 02/21/1997
Uniform Securities Agent State Law ExaminationSeries 63 02/03/1997
General Securities Representative ExaminationSeries 7 01/20/1997

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

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.

Licenses and Conduct

License Status

1 Customer Dispute

1 Customer Dispute

As of Date
*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.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees