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Susan Carol Desantis

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Information

Firm:
Type: Registered Representative
Description

Susan Desantis is a financial professional at Sigma Financial Corporation, a broker-dealer with 523 registered representatives nationwide. Susan has held an industry securities registration for less than a year and is subject to FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Sigma Financial Corporation 1 year Oct 2013 - Present
Royal Alliance Associates,Inc 9 years, 3 months Jun 2004 - Sep 2013
Susan Desantis Financial Services 13 years, 8 months Feb 2001 - Present
Washington Square Securities, Inc. 12 years, 5 months Dec 1991 - May 2004
Secure Investment Planners, Inc 24 years, 2 months Sep 1990 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 11/25/1996
Direct Participation Programs Representative ExaminationSeries 22 05/19/1989
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 08/28/1987
Uniform Securities Agent State Law ExaminationSeries 63 08/28/1987

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.

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.

Firm Compensation Arrangements

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No compensation arrangements listed.