Susan M. Rindfleisch
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 Meredith Rindfleisch, who also goes by Susan Meridith Rindfleisch, Susan Meredith Rindfleisch, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2014. Susan 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
January 17, 2019 - July 14, 2022
TD AMERITRADE, INC.
April 17, 2018 - September 6, 2018
SIMPLIFI, INC.
October 26, 2017 - April 5, 2018
FIRST COMMAND ADVISORY SERVICES
October 26, 2017 - April 5, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
July 2, 2015 - October 20, 2017
OPPENHEIMER & CO. INC.
October 7, 2014 - October 20, 2017
OPPENHEIMER & CO. INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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