SA
Susan C. Agiert
MUTUAL ADVISORS
Prescott, AZ
Some features on this profile are disabled
CRD#: 1056989
SA
Professional summary
Susan Carol Agiert, who also goes by Susan Amberger Agiert, Susan C Agiert, Susand C Agiert, Susan Carol Amberger, is a registered financial advisor currently at MUTUAL ADVISORS, LLC located in Prescott, Arizona and MUTUAL SECURITIES, INC. located in Camarillo, California.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Susan has worked at 8 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Amberger Agiert | Susan C Agiert | Susand C Agiert | Susan Carol Amberger
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. Selling Homemade Items, Start Date: 03/2016, 5353 Rocky Vista Dr., Prescott, AZ 86301, Making and selling home made items for friends. May sell at holiday boutiques in future, Not Investment Related, 20 hours per month, 0 hours per day during trading hours. 2. Agiert Insurance Services, Start Date: 01/01/2021, 5353 Rocky Vista Dr,, Prescott, AZ 86301, Sole Proprietorship, Medicare Insurance Services, Agent/Owner, Medicare Insurance Services, 15 Hours per month, 0 Hours per day during trading hours. 3. Big Blue Stud Services, Start Date: 10/21/2023, 5353 Rocky Vista Dr., Prescott, AZ 86301, Providing Goldendoodle Stud Services, Stud Wrangler, My duty is to make sure my Stud is ready to service when he is needed, Not Investment Related, Hours per month Varies, 0 Hours per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Carol Agiert'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®
NoneExperience
Current
May 9, 2023 - Present
MUTUAL ADVISORS, LLC
RIA
CRD#: 167658
Prescott, AZ
Current
January 23, 2017 - Present
MUTUAL SECURITIES, INC.
Office #1: 807-a Camarillo Springs Road, Camarillo, CA 93012BD
CRD#: 13092
Camarillo, CA
Past
January 30, 2017 - May 4, 2023
MUTUAL ADVISORS, LLC
RIA
CRD#: 167658
Camarillo, CA
Past
June 4, 2013 - January 24, 2017
FINANCIAL WEST GROUP
BD
CRD#: 16668
WESTLAKE VILLAGE, CA
Past
June 3, 2013 - January 24, 2017
FINANCIAL WEST GROUP
RIA
CRD#: 16668
WESTLAKE VILLAGE, CA
Past
July 8, 2010 - May 17, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WOODLAND HILLS, CA
Past
March 10, 2010 - May 17, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
WOODLAND HILLS, CA
Past
June 1, 2009 - March 31, 2010
MORGAN STANLEY
BD
CRD#: 149777
WOODLAND HILLS, CA
Past
September 21, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WOODLAND HILLS, CA
Past
December 4, 1997 - April 3, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 22, 1982 - July 26, 1994
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
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".
MA
MUTUAL ADVISORS, LLC
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
CRD#: 167658 / SEC#: 801-78089
RIA
Registered Investment Advisory firm - (5/26/2013 Approved)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
Alabama(11/3/2021)
RR
Alaska(2/2/2024)
RR
Arizona(3/2/2021)
IAR
Arizona(5/9/2023)
RR
Arkansas(1/29/2024)
RR
California(1/24/2017)
RR
Colorado(3/2/2021)
RR
Connecticut(9/29/2021)
RR
Delaware(11/1/2022)
RR
District of Columbia(1/17/2024)
RR
Florida(3/1/2021)
RR
Georgia(11/5/2021)
RR
Idaho(9/28/2021)
RR
Illinois(8/26/2021)
RR
Indiana(2/26/2021)
RR
Iowa(11/7/2022)
RR
Kansas(5/18/2022)
RR
Kentucky(1/23/2024)
RR
Louisiana(1/23/2024)
RR
Maine(1/18/2024)
RR
Maryland(8/24/2021)
RR
Massachusetts(9/28/2021)
RR
Michigan(2/26/2021)
RR
Minnesota(5/19/2021)
RR
Mississippi(1/17/2024)
RR
Missouri(9/27/2021)
RR
Montana(1/18/2024)
RR
Nebraska(3/3/2021)
RR
Nevada(1/23/2024)
RR
New Hampshire(1/19/2024)
RR
New Jersey(10/28/2022)
RR
New Mexico(1/17/2024)
RR
New York(8/29/2021)
RR
North Carolina(11/4/2021)
RR
North Dakota(1/22/2024)
RR
Ohio(2/26/2021)
RR
Oklahoma(9/30/2021)
RR
Oregon(5/19/2022)
RR
Pennsylvania(10/28/2022)
RR
Rhode Island(1/17/2024)
RR
South Carolina(12/13/2023)
RR
South Dakota(12/7/2023)
RR
Texas(2/26/2021)
RR
Utah(2/16/2023)
RR
Vermont(1/17/2024)
RR
Virgin Islands(1/17/2024)
RR
Virginia(8/25/2021)
RR
Washington(2/26/2021)
RR
West Virginia(12/7/2023)
RR
Wisconsin(9/29/2021)
RR
Wyoming(1/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MUTUAL ADVISORS, LLC
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
CRD#: 167658 / SEC#: 801-78089
RIA
Registered Investment Advisory firm - (5/26/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9140 W Dodge Road Suite 230, Omaha, NE 68114
Mailing Address
Phone number
(307) 439-6357
Established
Firm type
Fiscal year end
# of Employees
189
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,515 |
| AUM (Assets Under Management) | $ 6,750,194,248 |
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.
