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Information

Firm:
Type: Registered Representative
Description

Susan Desantis is a financial professional at Sigma Financial Corporation, a broker-dealer with 687 registered representatives nationwide. Susan has held an industry securities registration for less than a year and is subject to FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Susan Carol Desantis has not answered any questions on Financial Q&A.

Top Guides

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

Firm Client Types

No client types listed.

Experience and Employment History

Employer Years Dates
Sigma Financial Corporation 6 months, 3 weeks Oct 2013 - Present
Royal Alliance Associates,Inc 9 years, 3 months Jun 2004 - Sep 2013
Susan Desantis Financial Services 13 years, 2 months Feb 2001 - Present
Washington Square Securities, Inc. 12 years, 5 months Dec 1991 - May 2004
Secure Investment Planners, Inc 23 years, 8 months Sep 1990 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , 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
Disclosures

1 Customer Dispute

As of Date
11/06/2013
*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 11/25/1996
Direct Participation Programs Representative Examination Series 22 05/19/1989
Investment Company Products/Variable Contracts Representative Examination Series 6 08/28/1987
Uniform Securities Agent State Law Examination Series 63 08/28/1987

Firm Compensation Arrangements

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No compensation arrangements listed.