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Susan Kathleen Gaughan

SG Americas Securities, LLC

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About Susan Kathleen Gaughan

Susan Kathleen Gaughan is a financial professional with over 25 years of experience in the securities industry. Currently, Susan is a registered representative with SG Americas Securities, LLC and has been with the firm since January 2015. Prior to joining SG Americas Securities, LLC, Susan was a registered representative with NEWEDGE USA, LLC from September 2008 to January 2015, and before that with NEWEDGE FINANCIAL INC. from February 1996 to September 2008. Susan is licensed to sell securities in Illinois.

Firm Information

Susan Gaughan is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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 Gaughan’s Registration & Firm History

IL

01/02/2015 - Present

SG Americas Securities, LLC (CHICAGO IL)

IL

09/01/2008 - 01/02/2015

NEWEDGE USA, LLC (CHICAGO IL)

IL

02/26/1996 - 09/01/2008

NEWEDGE FINANCIAL INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 02/13/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/09/2013

Series 27 - Financial and Operations Principal Examination

BC

Issued 02/09/2013

Series 4 - Registered Options Principal Examination

BC

Issued 01/05/2013

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/23/1996

Series 7 - General Securities Representative Examination

BC

Issued 04/10/1995

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Susan Kathleen Gaughan.
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