Susan L. Richards
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 Lynn Richards was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1982. Susan had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2017 - July 20, 2020
ROUND ROCK ADVISORS LLC
March 27, 2013 - April 24, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
April 30, 2009 - December 31, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
June 26, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 30, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
July 30, 1982 - April 24, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
ROUND ROCK ADVISORS LLC
CRD#: 286007 / SEC#: 801-108989
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
ROUND ROCK ADVISORS LLC
CRD#: 286007 / SEC#: 801-108989
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,126 |
| AUM (Assets Under Management) | $ 814,558,622 |
Red Flags
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