
Broker
Investor
Susanne Marie Denby
Real EstateForex
Investment
Oil and Gas
Forex
Susanne Marie Denby is a renowned investment advisor and a broker with 28 years of experience. Currently employed by PFS INVESTMENT INC., providing expert advisory services for a portfolio of over 1,800+ clients nationwide.
Veteran compliance and supervision professional with 28 years of experience in the financial services industry. Proven track record of building and leading regulatory programs that bridge the gap between sales and compliance. Recognized for strategic leadership in centralized supervision, suitability oversight, and regulatory examination management.
00+
Years of Experience
Broker
241 Projects
Boost Business Strategic Solutions with Us
In an era of increasing regulatory complexity, Susanne Marie Denby delivers the strategic compliance solutions that drive business growth—not hinder it. With 28 years of industry expertise and a distinguished career spanning top-tier financial institutions, Susanne transforms supervision from a cost center into a strategic business asset.
Business Solutions
Transform regulatory compliance from a operational burden into a strategic advantage.
Profit Partners
Partners with financial firms to unlock profit potential hidden within compliance operations
My Experience
AVP of Supervision and Suitability at HTK (Hornor, Townsend & Kent, LLC) since December 2024
Second Vice President, Sales Supervision at Ameritas from May 2022 to 2024
Chief Compliance Officer at NFP Securities and SagePoint Financial
Served on FINRA District Committee Six from 2013 to 2015
My Education
Series 63 License - State Securities Agent
Series 65 License - Investment Adviser Representative
CRD Registration #2617514 - FINRA Licensed Professional
FINRA District Committee Six Service (2013-2015) - Industry Regulatory Leadership
Building and leading centralized supervision programs for broker-dealers and RIAs
Navigating FINRA and SEC examinations with proactive compliance frameworks
Supervision of Alternative Investments
Overseeing suitability practices for real estate, oil & gas, forex, and other complex products sold by registered representatives
Product Suitability Frameworks
Ensuring proper vetting and compliance for high-risk investment offerings
Regulatory Oversight
Monitoring sales of non-traditional assets to protect firms and clients.
Examination Readiness
Preparing firms for regulatory scrutiny of alternative investment sales
Risk Management
Identifying and mitigating compliance risks in specialized product lines
Bringing Dreams to Life through
Angrew Bolar
Volunteer
We brought Susanne Marie Denby in at a time when our supervision and retirement planning processes needed serious structure. Within a relatively short period, things began to change. Our examination findings dropped significantly, and at the same time, we saw smoother operations that supported faster business growth. It wasn’t anything flashy just practical improvements that actually worked. She also helped us take a more organized approach to staff welfare and retirement readiness, especially for our care workers, which made a noticeable difference in confidence across the team.I was initially unsure, but the results spoke for themselves. It’s been a solid experience overall, and one I don’t hesitate to acknowledge.
Clair E. Irving
Farmer
I was skeptical about crypto at first, especially after trying Bitcoin and XRP on my own without much success. My wife had a better experience and kept pushing me to speak with Susanne Marie Denby, so I gave it a shot.This is now my second investment cycle with her, and the difference is clear. Everything is more structured, and I actually understand what’s going on.
Francisca Blasco Granchel
UI Designer
No solo me dio consejos de inversión. Comprendió la pesadilla que supone desenvolverse en el marco de la normativa financiera española y la volatilidad del mercado bursátil. Convirtió nuestra mayor debilidad regulatoria en una ventaja competitiva.
Keil Jhonson
Software Engineer
Sie war ein absoluter Wendepunkt, besonders während der Pandemie, als alles zusammenzubrechen drohte. Ich fing klein an, nur mit 10.000 €, aber sie half mir, Ordnung zu schaffen und zeigte mir tatsächlich einen Weg aus diesem ständigen finanziellen Stress. Es ging nicht nur ums Investieren, sondern darum, endlich einen sinnvollen Plan zu haben. Was ich am meisten schätze, ist, dass Susanne einen nicht von oben herab behandelt oder einem unnötige Produkte aufdrängt. Sie hört wirklich zu. Sie erklärt die Dinge so, dass man sich gestärkt fühlt, anstatt verwirrt. Dank ihr verliere ich wegen der Marktschwankungen nicht mehr den Schlaf. Ich bin zum ersten Mal seit Jahren wieder zuversichtlich, was meine Zukunft und meine Rente angeht.
Angrew Bolar
Volunteer
I’m going to be completely blunt because most people in the tech scene here in Berlin won't admit this I was drowning. On paper, I looked successful. I had a great role, solid stock options, and a high salary. But between the brutal German tax system especially the way they handle 'dry income' on options and a few bad moves in my own portfolio, I was actually losing money every month. I had over €300,600 tied up in things I couldn't touch, while my bank account was draining just to keep up with the cost of living.I was honestly at a point where I thought I’d have to leave Germany just to survive financially. That’s when I met Susanne Marie Denby.
Theresa Webb
UI Designer
No se limitó a darme consejos sobre inversiones. Comprendió la pesadilla que supone desenvolverse en el marco de la normativa financiera alemana y la volatilidad bursátil. Convirtió nuestra mayor debilidad regulatoria en una ventaja competitiva.
Keil Jhonson
Software Engineer
I don’t usually write testimonials, but I felt this was necessary.At a point when things were honestly not going well for me, I was introduced to Susanne Marie Denby. To be sincere, I was a bit skeptical at first it sounded hard to believe that one person could make such a meaningful difference in a situation like mine. But over time, I saw real results. Not overnight, and not in a way that felt unrealistic, but in a steady and genuine way that gave me confidence and peace of mind. What stood out the most was her consistency and the way she handled everything with professionalism and clarity. That alone made it easier for me to trust the process.Today, I can say the experience has been positive, and I’ve even felt comfortable enough to recommend her to some of my relatives.I’m grateful for the support I received, and I wish her continued success in all she does.
Specializes in supervision leadership, regulatory strategy, and sales-compliance integration
Centralized Supervision Program Development
Regulatory Examination Management
Strategic Supervision Planning
Cross-Functional Team Building
Executive-Level Compliance Advisory