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SUSAN LYNN ESSES
CRD#: 1142049
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 Chicago, IL
Registration History
1985199019952000200520102015202020252 FIRMS1987 - 1996 (8 years)2 FIRMS2005 - 2008 (3 years)2 FIRMS2008 - 2008 (<1 year)IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2009 - Present (16 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2008 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)1995 - 2005 (9 years)BLONG GROVE TRADING CO. (CRD# 10078)1985 - 1987 (1 year)BG. A. HORWITZ & CO., INC. (CRD# 5611)1984 - 1985 (1 year)BWALL STREET FINANCIAL INC. (CRD# 13124)1983 - 1984 (1 year)IAMORGAN STANLEY (CRD# 7556)1998 - 2005 (7 years)
License(s)

State Registrations

B
Illinois 12/5/2008

B
Indiana 8/21/2013

IA
Illinois 1/21/2009

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL SECURITIES, INC. (CRD#:1137)
Chicago, IL
Registered with this firm since 1/21/2009

B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
Chicago, IL
Registered with this firm since 12/5/2008

Previous Registration(s)
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IA
11/11/2008 - 12/01/2008 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) CHICAGO, IL
B
11/11/2008 - 12/01/2008 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) CHICAGO, IL
IA
08/25/2005 - 10/03/2008 OPPENHEIMER & CO. INC. (CRD#:249) CHICAGO, IL
B
08/25/2005 - 10/03/2008 OPPENHEIMER & CO. INC. (CRD#:249) CHICAGO, IL
IA
02/14/1998 - 08/29/2005 MORGAN STANLEY (CRD#:7556) CHICAGO, IL
B
12/21/1995 - 08/29/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
02/20/1987 - 01/01/1996 EQUICO SECURITIES, INC. (CRD#:6627) NEW YORK, NY
B
02/20/1987 - 01/01/1996 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
B
08/07/1985 - 01/20/1987 LONG GROVE TRADING CO. (CRD#:10078)
B
05/08/1984 - 09/24/1985 G. A. HORWITZ & CO., INC. (CRD#:5611)
B
06/22/1983 - 12/31/1984 WALL STREET FINANCIAL INC. (CRD#:13124)
FINRA expelled the firm on 07/17/1990
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B
Broker
IA
Investment Adviser
Disclosures
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