SA
Susan B. Allen
GREAT VALLEY ADVISOR GROUP
NEWTOWN, PA 18940
Some features on this profile are disabled
CRD#: 1000420
SA
Professional summary
Susan Beth Allen, CFP®, who also goes by Susan Beth Kleibert Allen, is a registered financial advisor currently at GREAT VALLEY ADVISOR GROUP, LLC located in Newtown, Pennsylvania and LPL FINANCIAL LLC located in Newtown, Pennsylvania.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Susan has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Retirement Planning
Comprehensive Financial Planni...
Elder Care
Estate Planning
Investment Planning
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes
Aliases
Susan Beth Kleibert Allen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 4/22/2010: NON-VARIABLE INSURANCE - LIFE, HEALTH, LTC, DISABILITY, FIXED ANNUITY - NEWTOWN, PA. 2. 4/11/2011: NON-VARIABLE INSURANCE DBA - THE CAPITAL LEGACY, LLC - DBA ONLY - 100% OF TIME SPENT - NEWTOWN, PA 3. 07/30/2015 - GREAT VALLEY ADVISOR GROUP INC. - INV REL - 780 NEWTOWN-YARDLEY ROAD NEWTOWN PA 18940 - REGISTERED INVESTMENT ADVISOR HYBRID - 80 HOURS PER MONTH, 4 DURING TRADING - ADVISOR WILL SERVE AS AN INVESTMENT ADVISOR REPRESENTATIVE UNDER GREAT VALLEY ADVISOR GROUP, INC. RIA. 4. 10/23/2015 - Great Valley Advisor Group, Inc. - DBA: The Capital Legacy, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 06/15/2015 - 120 Hours Per Month/6 Hours During Securities Trading. 5. 1/27/2021 - Long Term Care Solutions - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 01/26/2021 - 3 Hours Per Month During Securities Trading. 6. 01/13/2022 - long term care division of the capital legacy llc - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 06/09/2017 - 10 Hours Per Month/8 Hours During Securities Trading. 7. 10/22/2025- 310 Newtown Office Park, LLC- Real Estate Rental- INV Related- At Reported Business Location(s)- Start date 09/19/2014- 1 Hour Per Month- 1 Hour During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Susan Beth Allen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Current
June 24, 2015 - Present
GREAT VALLEY ADVISOR GROUP, LLC
Office #1: 780 Newtown Yardley Rd #310, Newtown, PA 18940RIA
CRD#: 123913
NEWTOWN, PA
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 780 Newtown Yardley Rd #310 New Town Office Park, Newtown, PA 18940RIA
BD
CRD#: 6413
Newtown, PA
Past
September 8, 2009 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
December 22, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
NEWTON, PA
Past
December 22, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
NEWTON, PA
Past
March 7, 2008 - December 11, 2009
STRATEGIC WEALTH ADVISORS GROUP
RIA
CRD#: 140977
NEWTOWN, PA
Past
October 14, 2003 - December 31, 2008
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
NEWTOWN, PA
Past
September 15, 1997 - December 31, 2008
FSC SECURITIES CORPORATION
BD
CRD#: 7461
NEWTOWN, PA
Past
September 3, 1981 - September 16, 1997
LINCOLN INVESTMENT
BD
CRD#: 519
FORT WASHINGTON, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GV
GREAT VALLEY ADVISOR GROUP, LLC
AFFIRMATIVE WEALTH PARTNERS | WOITA & ASSOCIATES | WILLOW RIVER WEALTH MANAGEMENT | WEDDINGTON ADVISORS | WEALTH RIDGE PLANNING | WAITE WEALTH MANAGEMENT | VALOR ASSET MANAGEMENT OF GREAT VALLEY ADVISOR GROUP | VALOR ASSET MANAGEMENT | US WEALTH ROPELEWSKI | US WEALTH QUIRK | US WEALTH OMAN | US WEALTH MANAGEMENT NEWPORT | US WEALTH MANAGEMENT NEW HAVEN | US WEALTH MANAGEMENT | US WEALTH HOWE | US WEALTH FARMINGTON VALLEY | US WEALTH CRAWFORD | US WEALTH CLARKE | US WEALTH BRAINTREE | UNION ADVISORS | U ADVISORS | TWO RIVERS WEALTH MANAGEMENT | TREND WISE WEALTH | TREASURE COAST WEALTH | THOMPSON FINANCIAL | THE RIDGEVIEW GROUP WEALTH MANAGEMENT | THE READY GROUP | THE NEXT LEVEL PLANNING & WEALTH MANAGEMENT | THE CAPITAL LEGACY, LLC | SWAN WEALTH MANAGEMENT GROUP, INC. | STRAIGHT FORWARD FINANCIAL | STONECREEK WEALTH MANAGEMENT | STONECREEK FINANCIAL | STONEBRIDGE WEALTH MANAGEMENT | SMILER FINANCIAL | SIMPLIFIED FINANCIAL LLC | SENTIENT WEALTH GROUP | SAPPHIRE WEALTH ADVISORY, INC. | SALT FINANCIAL, LLC | SALT FINANCIAL GROUP LLC | ROSENAU FINANCIAL ADVISORS | ROPE FINANCIAL | ROCK ISLAND FINANCIAL | PURSUIT WEALTH MANAGEMENT | PRESTIGE WEALTH PARTNERS LLC | PETERS FINANCIAL PLANNING CORPORATION | PEAKHAVEN ASSET MANAGEMENT | PARAGON WEALTH MANAGEMENT | P.M.A WEALTH MANAGEMENT | OPULENCE WEALTH MANAGEMENT | OPTIMAL WEALTH SERVICES | OC WEALTH MANAGEMENT, INC. | OAKPOINT WEALTH MANAGEMENT | NORTH POINT ADVISOR GROUP | NEXA FINANCIAL GROUP | NEW PERSPECTIVE FINANCIAL GROUP | NAUTIC FINANCIAL GROUP, LLC. | MILLSTONE WEALTH MANAGEMENT | MERIDIAN RETIREMENT PLANNING SERVICES | MERIDIAN FINANCIAL SERVICES | MDA WEALTH MANAGEMENT | MARON FINANCIAL SOLUTIONS | KNIGHT WEALTH MANAGEMENT, INC. | KAVE FAMILY FINANCIAL | KARP FINANCIAL SERVICES INC. | JUPITER WEALTH PLANNING | JERVEY GENESIS WEALTH MANAGEMENT SOLUTIONS | JEFFRUB WEALTH MANAGEMENT | J W JOSEPHS FINANCIAL | INNOVATIVE PLANNING GROUP - IPG | HART WEALTH MANAGEMENT | HARDING CAPITAL MANAGEMENT, LLC | HAAS FINANCIAL GROUP | GVA WEALTH MANAGEMENT | GVA RETIREMENT PARTNERS | GVA ASSET MANAGEMENT | GRIFFITHS FINANCIAL SERVICES | GREAT VALLEY WEALTH MANAGEMENT | GREAT VALLEY ADVISORS RETIREMENT PARTNERS | GREAT VALLEY ADVISORS 401K CONSULTING | GREAT VALLEY ADVISOR GROUP, LLC | GREAT VALLEY ADVISOR GROUP, INC. | GREAT VALLEY ADVISOR GROUP | GORNITZKY SAGE WEALTH MANAGEMENT GROUP, INC. | GAINES FINANCIAL GROUP | FORMATION FINANCIAL | FLEISCHAUER FINANCIAL MANAGEMENT, INC. | FITCH AND STRONG GROUP | FIRST LIGHT FINANCIAL | ENDEAVR WEALTH PLANNING | DSB ROCK ISLAND WEALTH MANAGEMENT, LLC. | DOYLESTOWN WEALTH MANAGEMENT, INC. | DOWNINGTOWN FINANCIAL | DIVERSIFIED WEALTH MANAGEMENT OF OK, LLC | COVINGTON ALSINA | CORNERSTONE PORTFOLIOS, LLC | CONSILIUM PRIVATE WEALTH | CLINTON WEALTH MANAGEMENT | CLEAR WEALTH PLANNING SOLUTIONS | CHRIS SMITH WEALTH MANAGEMENT | CHEW FINANCIAL GROUP | CHESTER SPRINGS FINANCIAL GROUP, LLC | CHESAPEAKE FINANCIAL PARTNERS | CAPPY'S FINANCIAL PLANNING LLC | CAPELLA WEALTH MANAGEMENT | BOYAR WEALTH MANAGEMENT, INC. | BLOSSOM FINANCIAL | BIG HORN FINANCIAL SERVICES, LLC | BEYOND WEALTH FINANCIAL ADVISORS | BERNICKE WEALTH MANAGEMENT - WOODBURY | BERNICKE WEALTH MANAGEMENT | BAY STREET WEALTH PARTNERS | BAVIELLO INVESTMENT MANAGEMENT | BANTZ FINANCIAL GROUP | BALANCED INVESTMENT STRATEGIES, INC. | ARTHUR LEA INVESTMENTS | AMERICAN WEALTH EXECUTIVES, LLC | AMERICAN WEALTH EXECUTIVES LLC | ALLIANCE WEALTH MANAGEMENT, INC. | ALLEN FINANCIAL SERVICES | ALAN PETER & ASSOCIATES
CRD#: 123913 / SEC#: 801-72270
RIA
Registered Investment Advisory firm - (4/8/2011 Approved)Delaware
Registered Investment Advisory firm - (4/12/2011 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2011 Terminated)New Jersey
Registered Investment Advisory firm - (4/13/2011 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(1/31/2018)
RR
California(9/8/2009)
RR
Delaware(12/21/2023)
RR
Florida(9/9/2009)
RR
Georgia(9/8/2009)
RR
Maryland(10/21/2020)
RR
New Jersey(9/8/2009)
RR
North Carolina(10/5/2018)
RR
Pennsylvania(9/8/2009)
IAR
Pennsylvania(6/24/2015)
RR
Texas(1/21/2011)
IAR
Texas(12/19/2016)
RR
Vermont(10/31/2014)
RR
Virginia(2/2/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GV
GREAT VALLEY ADVISOR GROUP, LLC
AFFIRMATIVE WEALTH PARTNERS | WOITA & ASSOCIATES | WILLOW RIVER WEALTH MANAGEMENT | WEDDINGTON ADVISORS | WEALTH RIDGE PLANNING | WAITE WEALTH MANAGEMENT | VALOR ASSET MANAGEMENT OF GREAT VALLEY ADVISOR GROUP | VALOR ASSET MANAGEMENT | US WEALTH ROPELEWSKI | US WEALTH QUIRK | US WEALTH OMAN | US WEALTH MANAGEMENT NEWPORT | US WEALTH MANAGEMENT NEW HAVEN | US WEALTH MANAGEMENT | US WEALTH HOWE | US WEALTH FARMINGTON VALLEY | US WEALTH CRAWFORD | US WEALTH CLARKE | US WEALTH BRAINTREE | UNION ADVISORS | U ADVISORS | TWO RIVERS WEALTH MANAGEMENT | TREND WISE WEALTH | TREASURE COAST WEALTH | THOMPSON FINANCIAL | THE RIDGEVIEW GROUP WEALTH MANAGEMENT | THE READY GROUP | THE NEXT LEVEL PLANNING & WEALTH MANAGEMENT | THE CAPITAL LEGACY, LLC | SWAN WEALTH MANAGEMENT GROUP, INC. | STRAIGHT FORWARD FINANCIAL | STONECREEK WEALTH MANAGEMENT | STONECREEK FINANCIAL | STONEBRIDGE WEALTH MANAGEMENT | SMILER FINANCIAL | SIMPLIFIED FINANCIAL LLC | SENTIENT WEALTH GROUP | SAPPHIRE WEALTH ADVISORY, INC. | SALT FINANCIAL, LLC | SALT FINANCIAL GROUP LLC | ROSENAU FINANCIAL ADVISORS | ROPE FINANCIAL | ROCK ISLAND FINANCIAL | PURSUIT WEALTH MANAGEMENT | PRESTIGE WEALTH PARTNERS LLC | PETERS FINANCIAL PLANNING CORPORATION | PEAKHAVEN ASSET MANAGEMENT | PARAGON WEALTH MANAGEMENT | P.M.A WEALTH MANAGEMENT | OPULENCE WEALTH MANAGEMENT | OPTIMAL WEALTH SERVICES | OC WEALTH MANAGEMENT, INC. | OAKPOINT WEALTH MANAGEMENT | NORTH POINT ADVISOR GROUP | NEXA FINANCIAL GROUP | NEW PERSPECTIVE FINANCIAL GROUP | NAUTIC FINANCIAL GROUP, LLC. | MILLSTONE WEALTH MANAGEMENT | MERIDIAN RETIREMENT PLANNING SERVICES | MERIDIAN FINANCIAL SERVICES | MDA WEALTH MANAGEMENT | MARON FINANCIAL SOLUTIONS | KNIGHT WEALTH MANAGEMENT, INC. | KAVE FAMILY FINANCIAL | KARP FINANCIAL SERVICES INC. | JUPITER WEALTH PLANNING | JERVEY GENESIS WEALTH MANAGEMENT SOLUTIONS | JEFFRUB WEALTH MANAGEMENT | J W JOSEPHS FINANCIAL | INNOVATIVE PLANNING GROUP - IPG | HART WEALTH MANAGEMENT | HARDING CAPITAL MANAGEMENT, LLC | HAAS FINANCIAL GROUP | GVA WEALTH MANAGEMENT | GVA RETIREMENT PARTNERS | GVA ASSET MANAGEMENT | GRIFFITHS FINANCIAL SERVICES | GREAT VALLEY WEALTH MANAGEMENT | GREAT VALLEY ADVISORS RETIREMENT PARTNERS | GREAT VALLEY ADVISORS 401K CONSULTING | GREAT VALLEY ADVISOR GROUP, LLC | GREAT VALLEY ADVISOR GROUP, INC. | GREAT VALLEY ADVISOR GROUP | GORNITZKY SAGE WEALTH MANAGEMENT GROUP, INC. | GAINES FINANCIAL GROUP | FORMATION FINANCIAL | FLEISCHAUER FINANCIAL MANAGEMENT, INC. | FITCH AND STRONG GROUP | FIRST LIGHT FINANCIAL | ENDEAVR WEALTH PLANNING | DSB ROCK ISLAND WEALTH MANAGEMENT, LLC. | DOYLESTOWN WEALTH MANAGEMENT, INC. | DOWNINGTOWN FINANCIAL | DIVERSIFIED WEALTH MANAGEMENT OF OK, LLC | COVINGTON ALSINA | CORNERSTONE PORTFOLIOS, LLC | CONSILIUM PRIVATE WEALTH | CLINTON WEALTH MANAGEMENT | CLEAR WEALTH PLANNING SOLUTIONS | CHRIS SMITH WEALTH MANAGEMENT | CHEW FINANCIAL GROUP | CHESTER SPRINGS FINANCIAL GROUP, LLC | CHESAPEAKE FINANCIAL PARTNERS | CAPPY'S FINANCIAL PLANNING LLC | CAPELLA WEALTH MANAGEMENT | BOYAR WEALTH MANAGEMENT, INC. | BLOSSOM FINANCIAL | BIG HORN FINANCIAL SERVICES, LLC | BEYOND WEALTH FINANCIAL ADVISORS | BERNICKE WEALTH MANAGEMENT - WOODBURY | BERNICKE WEALTH MANAGEMENT | BAY STREET WEALTH PARTNERS | BAVIELLO INVESTMENT MANAGEMENT | BANTZ FINANCIAL GROUP | BALANCED INVESTMENT STRATEGIES, INC. | ARTHUR LEA INVESTMENTS | AMERICAN WEALTH EXECUTIVES, LLC | AMERICAN WEALTH EXECUTIVES LLC | ALLIANCE WEALTH MANAGEMENT, INC. | ALLEN FINANCIAL SERVICES | ALAN PETER & ASSOCIATES
CRD#: 123913 / SEC#: 801-72270
RIA
Registered Investment Advisory firm - (4/8/2011 Approved)Delaware
Registered Investment Advisory firm - (4/12/2011 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2011 Terminated)New Jersey
Registered Investment Advisory firm - (4/13/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 Pennsylvania Ave Suite 202, Wilmington, DE 19806
Mailing Address
Phone number
(302) 483-7200
Established
Firm type
Fiscal year end
# of Employees
333
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 33,099 |
| AUM (Assets Under Management) | $ 9,732,148,499 |
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.
Company Information
GREAT VALLEY ADVISOR GROUP, LLC
CRD#: 123913Newtown, PA 18940TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
