Susan J. Templeton

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CRD#: 1075849

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 Jean Templeton, who also goes by Susan Jean Carr, Susan Templeton, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 1982. Susan had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Susan Jean Carr | Susan Templeton

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.

Claridges Trust Company (330 E. Kilbourn, Milwaukee, WI 53202), Independent Director serving on the investment and audit committee since November 2015. Seyen Capital (200 W. Madison St., Chicago, IL 60606), Advisory Board member since May 2018, working approximately 5 hours per month. Chicago Booth (5807 S. Woodlawn, Chicago, IL 60637), Part-time Instructor teaching portfolio management and family business planning since June 2018.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 6, 2019 - June 5, 2024

SEBOLD CAPITAL MANAGEMENT, INC

RIA

CRD#: 122941

LISLE, IL

Past

May 12, 2008 - August 2, 2019

STAFFORD WELLS ADVISORS, INC.

RIA

CRD#: 146570

CHICAGO, IL

Past

February 25, 2006 - April 22, 2008

QIS ADVISORS LLC

RIA

CRD#: 133217

MEQUON, WI

Past

July 22, 1998 - June 27, 2001

DREHER & ASSOCIATES, INC.

CRD#: 8665

OAKBROOK TERRACE, IL

Past

July 3, 1991 - July 1, 1994

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

October 2, 1985 - February 26, 1987

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

Past

December 17, 1982 - October 25, 1985

BNY MELLON SECURITIES CORPORATION

CRD#: 231

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".

SEBOLD CAPITAL MANAGEMENT, INC

CRD#: 122941 / SEC#: 801-78616

RIA

Registered Investment Advisory firm - (9/27/2013 Approved)

Illinois

Registered Investment Advisory firm - (10/8/2013 Terminated)

Texas

Registered Investment Advisory firm - (6/1/2012 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/30/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/14/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/14/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/2/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/11/1986

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SEBOLD CAPITAL MANAGEMENT, INC

CRD#: 122941 / SEC#: 801-78616

RIA

Registered Investment Advisory firm - (9/27/2013 Approved)

Illinois

Registered Investment Advisory firm - (10/8/2013 Terminated)

Texas

Registered Investment Advisory firm - (6/1/2012 Conditional Restricted)

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Contact information

Main Address

2443 Warrenville Road Suite 150, Lisle, IL 60532

Mailing Address

Phone number

(630) 548-9700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE AND PART 2B BROCHURE SUPPLEMENT (3/21/2025)

Regulatory assets under management

Total Number of Accounts	880
AUM (Assets Under Management)	$ 331,209,249

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
10/18/2024	Cover Page	Report
01/23/2024	Cover Page	Report

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.

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Firm Stability Insights

Susan J. Templeton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STAFFORD WELLS ADVISORS, INC.

QIS ADVISORS LLC

DREHER & ASSOCIATES, INC.

WILLIAM BLAIR

CLAYTON BROWN & ASSOCIATES, INC.

BNY MELLON SECURITIES CORPORATION

Primary Firm SEC Registration

SEBOLD CAPITAL MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/2006

Series 63

Date: 8/14/1991

Series 7

Date: 10/14/1992

Series 6

Date: 7/2/1991

Series 26

Date: 12/11/1986

Current Firm

SEBOLD CAPITAL MANAGEMENT, INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SEBOLD CAPITAL MANAGEMENT, INC

TRUST BUT VERIFY

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