Rhonda S. Paxton
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.
Rhonda Suzanne Paxton, who also goes by Rhonda S Butler, Rhonda Suzanne Butler, Rhonda Halpin, Rhonda Smith, was a registered financial professional .
Rhonda is a previously registered financial professional and started their career in finance in 1997. Rhonda had worked at 5 firms and has passed the Series 65, 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
October 8, 2016 - February 20, 2019
TD AMERITRADE, INC.
August 1, 2016 - October 3, 2016
LPL FINANCIAL LLC
May 25, 2016 - August 19, 2016
FINANCIAL SENSE SECURITIES, INC.
December 17, 2008 - April 8, 2016
VANGUARD MARKETING CORPORATION
March 21, 2000 - July 16, 2008
VANGUARD MARKETING CORPORATION
May 12, 1997 - March 28, 2000
SUNAMERICA SECURITIES, INC.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
