Susan E. Jones

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CRD#: 1220226

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 Elaine Jones, who also goes by Lee Allen, Susan Elaine Allen, Susan Allen, Susan Elaine Lee, Susan Lee, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 1984. Susan had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lee Allen | Susan Elaine Allen | Susan Allen | Susan Elaine Lee | Susan Lee

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.

The advisor shows no other business activity.

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

October 11, 2001 - February 14, 2011

CONTINENTAL INVESTORS SERVICES, INC.

RIA

CRD#: 29775

LONGVIEW, WA

Past

September 12, 2001 - August 27, 2020

CONTINENTAL INVESTORS SERVICES, INC.

CRD#: 29775

LONGVIEW, WA

Past

March 30, 1995 - September 12, 2001

INTERPACIFIC INVESTORS SERVICES, INC.

CRD#: 4879

SEATTLE, WA

Past

July 21, 1994 - April 10, 1995

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

January 8, 1992 - January 20, 1992

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 6, 1987 - September 24, 1990

OLYMPIC SECURITIES, INC.

CRD#: 15999

Past

January 13, 1984 - March 9, 1987

INVEST FINANCIAL CORPORATION

CRD#: 12984

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".

CONTINENTAL INVESTORS SERVICES, INC.

CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.

CRD#: 29775 / SEC#: 801-122737, 8-44523

RIA

Registered Investment Advisory firm - SEC (11/22/2021 Approved)

Alaska

Registered Investment Advisory firm - SEC (3/24/2023 Terminated)

Arizona

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

California

Registered Investment Advisory firm - SEC (4/20/2023 Terminated)

Georgia

Registered Investment Advisory firm - SEC (4/18/2023 Terminated)

Idaho

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Nevada

Registered Investment Advisory firm - SEC (4/20/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (12/7/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Oregon

Registered Investment Advisory firm - SEC (4/3/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Utah

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Washington

Registered Investment Advisory firm - SEC (4/24/2023 Terminated)

Wyoming

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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 66

Date: 11/29/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/25/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1994

General Securities Representative Examination

Current Firm

CONTINENTAL INVESTORS SERVICES, INC.

CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.

CRD#: 29775 / SEC#: 801-122737, 8-44523

RIA

Registered Investment Advisory firm - SEC (11/22/2021 Approved)

Alaska

Registered Investment Advisory firm - SEC (3/24/2023 Terminated)

Arizona

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

California

Registered Investment Advisory firm - SEC (4/20/2023 Terminated)

Georgia

Registered Investment Advisory firm - SEC (4/18/2023 Terminated)

Idaho

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Nevada

Registered Investment Advisory firm - SEC (4/20/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (12/7/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Oregon

Registered Investment Advisory firm - SEC (4/3/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Utah

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Washington

Registered Investment Advisory firm - SEC (4/24/2023 Terminated)

Wyoming

Registered Investment Advisory firm - SEC (3/21/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1330 Broadway Street, Longview, WA 98632

Mailing Address

P.o. Box 888, Longview, WA 98632-7552

Phone number

(360) 423-5110

Established

Washington since 12/16/1991

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (18 States and Territories)

FINRA licenses (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 2025 (12/1/2025)

FORM ADV PART 1 2025 (12/1/2025)

Direct owners and executive officers

Name	Position	CRD#
KAMP, MAX BRYAN	PRESIDENT, CEO/DIRECTOR,CCO	838249
TREMBLEY, BETTY JANE	SHAREHOLDER	736205
ELO, MICHELLE FRANCIS	CHIEF FINANCIAL OFFICER	2651623

Regulatory assets under management

Total Number of Accounts	605
AUM (Assets Under Management)	$ 196,792,432

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Susan E. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONTINENTAL INVESTORS SERVICES, INC.

INTERPACIFIC INVESTORS SERVICES, INC.

KEY INVESTMENTS INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

OLYMPIC SECURITIES, INC.

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

CONTINENTAL INVESTORS SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/29/2000

Series 63

Date: 7/25/1994

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1994

Current Firm

CONTINENTAL INVESTORS SERVICES, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (42 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CONTINENTAL INVESTORS SERVICES, INC.

TRUST BUT VERIFY

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