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3000 Westchester Avenue Suite 206, Purchase, NY 10577 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2017-02-15 |
Branch Locations
3000 Westchester Avenue Suite 206, Purchase, NY 10577 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stamford | CT | 04/1982 | 02/2017 |
| Bank Of America, Na | Stamford | CT | 05/2010 | 02/2017 |
| Seacrest Wealth Management, Llc | Purchase | NY | 02/2017 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 02/2017 | Present |
Susan Bock is dually-registered with SeaCrest Wealth Management, LLC and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Susan Bock has served as an investment advisor representative for SeaCrest Wealth Management, LLC and an registered representative with PKS since 02/2017. Business is conducted from 3000 Westchester Avenue, Purchase NY 10577. Approximately 90% of Susan Bock's time is for services as an investment advisor representative and the balance as a registered representative.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 1980-01-30 |
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