Susan R. Sawyer
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 R Sawyer, who also goes by Susan Aiken, Susan Miriam Frank, Susan Frank, Susan Frank Nebel, Susan Nebel, Suans Frank Robbins, Susan Frank Robbins, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1971. Susan had worked at 12 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 1987 - February 16, 1988
KMS FINANCIAL SERVICES, INC.
July 26, 1985 - March 24, 1987
WEDBUSH SECURITIES INC.
December 20, 1984 - June 14, 1985
MERCER SECURITIES GROUP, INC.
February 9, 1981 - November 28, 1984
FOSTER & MARSHALL INC.
January 25, 1979 - March 2, 1981
J.P. MORGAN SECURITIES LLC
July 31, 1978 - January 22, 1986
EVANS & CO., INC.
January 26, 1977 - July 12, 1978
CIBC WORLD MARKETS CORP.
August 10, 1976 - February 24, 1977
NEUBERGER SECURITIES CORP.
July 25, 1972 - September 14, 1976
LOEB, RHOADES
September 1, 1971 - August 6, 1972
FILOR, BULLARD & SMYTH
May 12, 1971 - August 26, 1971
LAIDLAW & CO. INCORPORATED
January 4, 1971 - May 19, 1971
MACK, BUSHNELL & EDELMAN, 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
Series 1
Date: 9/15/1967
Registered Representative ExaminationCurrent 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.
