Suzanne C. Rayfield
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 Claire Rayfield, who also goes by Suzanne Claire Bosse, Suzanne C Rayfield, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1991. Suzanne had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2016 - February 2, 2016
FIRST COMMAND BROKERAGE SERVICES, INC.
February 13, 2013 - September 17, 2014
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - September 17, 2014
RAYMOND JAMES & ASSOCIATES, INC.
August 9, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
May 24, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
July 6, 2006 - September 25, 2006
MORGAN STANLEY DW INC.
July 5, 2006 - September 25, 2006
MORGAN STANLEY DW INC.
August 18, 2000 - December 5, 2005
CITIGROUP GLOBAL MARKETS INC.
August 17, 2000 - December 5, 2005
CITIGROUP GLOBAL MARKETS INC.
August 24, 1992 - July 20, 1999
J.C. BRADFORD & CO.
March 31, 1992 - July 31, 1992
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 2, 1991 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, 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
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
