Suzanne M. Maffett
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 M. Maffett, who also goes by Sue Maffett, Susan Maffett, Suzanne M Maffett, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1993. Suzanne had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4, Series 51 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
January 8, 2009 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 2, 2009 - October 14, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 17, 2005 - November 2, 2010
CADE GROUP, INC.
July 31, 2001 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 27, 2001 - October 14, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 9, 1999 - July 20, 2001
RAYMOND JAMES & ASSOCIATES, INC.
February 23, 1999 - September 25, 1999
RONEY & CO.
February 1, 1999 - February 27, 1999
BANC ONE SECURITIES CORPORATION
March 15, 1996 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
June 23, 1993 - March 14, 1996
ESSEX NATIONAL SECURITIES, 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
