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Susan Elizabeth Zaferos

Castleoak Securities, LP

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About Susan Elizabeth Zaferos

Susan Zaferos is a financial professional with over 30 years of experience in the securities industry. Susan is currently registered with Castleoak Securities, LP in Chicago, Illinois. Susan has held previous positions with LPS Capital LLC, Cabrera Capital Markets, LLC, Loop Capital Markets LLC, R. Seelaus & Co., Inc., National Financial Services LLC, First Union Securities, Inc. and Blunt Ellis & Loewei Incorporated. Susan has a broad range of experience in the financial services industry, having passed both the Series 7 and Series 63 examinations. Susan is dedicated to providing her clients with the highest level of service and expertise.

Firm Information

Susan Zaferos is currently registered with Castleoak Securities, LP. Castleoak Securities, LP is a Partnership formed in July 2004. It is registered with the SEC and is approved in all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

21

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Susan Zaferos’s Registration & Firm History

IL

08/18/2021 - Present

Castleoak Securities, LP (Chicago IL)

NY

07/07/2020 - 11/02/2020

LPS CAPITAL LLC (NEW YORK NY)

IL

03/12/2019 - 05/07/2020

CABRERA CAPITAL MARKETS, LLC (CHICAGO IL)

NY

06/16/2015 - 06/12/2018

LOOP CAPITAL MARKETS LLC (NEW YORK NY)

NJ

12/10/2014 - 06/09/2015

R. SEELAUS & CO.,INC. (CHATHAM NJ)

MA

11/10/2000 - 04/02/2014

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

MO

09/04/1990 - 11/08/2000

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NA

04/19/1988 - 09/04/1990

BLUNT ELLIS & LOEWI INCORPORATED

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Licenses & Designations

BC

Issued 05/16/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/15/2005

Series 24 - General Securities Principal Examination

BC

Issued 06/12/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/16/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Susan Elizabeth Zaferos.
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