Erika R. Sauseda
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.
Erika Rodriguez Sauseda, who also goes by Erika Alexia Rodriguez, Erika Alexia Sauseda, was a registered financial professional .
Erika is a previously registered financial professional and started their career in finance in 2002. Erika had worked at 5 firms and has passed the Series 66, 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
August 11, 2014 - November 16, 2017
USAA INVESTMENT SERVICES COMPANY
August 11, 2014 - November 16, 2017
USAA INVESTMENT SERVICES COMPANY
October 19, 2005 - October 1, 2014
USAA FINANCIAL PLANNING SERVICES
October 19, 2005 - October 1, 2014
USAA FINANCIAL ADVISORS, INC.
April 9, 2003 - October 6, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
April 9, 2003 - October 6, 2005
IDS LIFE INSURANCE COMPANY
April 9, 2003 - October 6, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2002 - February 10, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
June 27, 2002 - February 10, 2003
IDS LIFE INSURANCE COMPANY
June 27, 2002 - February 10, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
