Suzanne A. Wiora
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Suzanne Adele Wiora, who also goes by Suzanne Wiora Boatright, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1990. Suzanne had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2011 - October 30, 2020
KMS FINANCIAL SERVICES, INC.
December 2, 2011 - October 30, 2020
KMS FINANCIAL SERVICES, INC.
June 22, 2005 - December 2, 2011
COMMONWEALTH FINANCIAL NETWORK
June 13, 2005 - December 2, 2011
COMMONWEALTH FINANCIAL NETWORK
December 19, 1996 - June 10, 2005
IDS LIFE INSURANCE COMPANY
December 19, 1996 - June 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
May 22, 1990 - April 7, 1995
IDS LIFE INSURANCE COMPANY
May 22, 1990 - April 7, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
