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Susan E Harriman

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

Susan Harriman is a financial professional at Ims Securities, Inc., a broker-dealer with 83 registered representatives nationwide. Susan is also registered with Ims Financial Advisors, Inc., an $85M RIA. Susan has held an industry securities registration for 11 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Ims Securities, Inc. 3 years, 6 months Apr 2011 - Present
Ims Financial Advisors, Inc. 3 years, 6 months 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
Hodges Capital Mangement Inc 1 year, 8 months May 2003 - Jan 2005
First Dallas Securities, Inc. 1 year, 8 months May 2003 - Jan 2005
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 02/21/1997
Uniform Securities Agent State Law ExaminationSeries 63 02/03/1997

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 Criminal Disclosure

1 Financial Disclosure

1 Customer Dispute

1 Criminal Disclosure

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

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees