Sue A. Swank-ripple
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.
Sue Ann Swank-ripple, who also goes by Sue Ann Bowman, Sue Ann Swank, Sue Ann Unger, was a registered financial professional .
Sue is a previously registered financial professional and started their career in finance in 1984. Sue had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2014 - December 31, 2025
CAPITAL ANALYSTS
August 2, 2010 - December 31, 2025
LINCOLN INVESTMENT
August 2, 2010 - December 31, 2025
LINCOLN INVESTMENT
July 27, 2006 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
August 20, 2002 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
April 22, 2002 - September 13, 2002
VERITRUST FINANCIAL, LLC
July 27, 1992 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
February 5, 1990 - August 13, 1992
TRANSAMERICA SECURITIES SALES CORPORATION
February 5, 1990 - August 13, 1992
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 10, 1988 - December 31, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
June 10, 1988 - December 31, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 18, 1984 - May 13, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/22/2025 | ||
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
