Susan J. Reynolds
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.
Susan Jeannette Reynolds, who also goes by Susan Jeannette Ferguson, Susan Ferguson, Susan Jeanette Reynolds, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1974. Susan had worked at 10 firms and has passed the Series 63, Series 3, PC, Series 1 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 6, 1995 - June 5, 1996
WADDELL & REED
August 4, 1994 - February 3, 1995
PARAGON CAPITAL MARKETS, INC.
February 22, 1991 - March 15, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 1989 - July 17, 1989
MESA SECURITIES CORPORATION
August 18, 1986 - July 9, 1988
INVEST FINANCIAL CORPORATION
May 17, 1983 - July 28, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 12, 1981 - January 31, 1982
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - October 2, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 5, 1974 - October 19, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 23, 1974 - May 8, 1974
DUPONT WALSTON, INCORPORATED
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
PC
Date: 2/14/1991
AMEX Put and Call ExamSeries 1
Date: 1/15/1974
Registered Representative ExaminationCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
