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Susan Marie Kaupie

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New Canaan, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-01-03
CT RA APPROVED 2019-06-12
  • TX RA
    APPROVED_RES
    Since 2024-01-03
  • CT RA
    APPROVED
    Since 2019-06-12

Branch Locations

2 Pine St, New Canaan, CT 06840 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwich CT 02/2019 Present
Centric Property Group Riverside CT 02/2014 02/2019
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-11
S63 Uniform Securities Agent State Law Examination 1992-08-26
  • S66 Uniform Combined State Law Examination
    2019-06-11
  • S63 Uniform Securities Agent State Law Examination
    1992-08-26
Other Names
  • Susan M Kaupie
  • Susan Marie Kaupie
  • S M Kaupie
  • Susan Kaupie

View on SEC IAPD

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CITIGROUP GLOBAL MARKETS INC. · New Canaan, CT
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NPLP MANAGEMENT · NEW CANAAN, CT
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CETERA INVESTMENT ADVISERS LLC · New Canaan, CT
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GROWE CAPITAL ADVISORS, LLC · NEW CANAAN, CT

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