Susan E. Small
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 Elizabeth Small, who also goes by Susan Miller, Susan Smallfellner, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1994. Susan had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 6, Series 2, Series 24 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
March 17, 2020 - April 10, 2025
DIMENSIONAL FUND ADVISORS LP
January 21, 2020 - April 10, 2025
DFA SECURITIES LLC
September 30, 2015 - December 24, 2018
UBS ASSET MANAGEMENT (US) INC.
July 3, 2013 - December 31, 2013
FORESIDE FUND SERVICES, LLC
October 17, 2006 - November 4, 2010
DEAM INVESTOR SERVICES, INC.
November 27, 2000 - September 27, 2006
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC
October 5, 1998 - September 26, 2006
NICHOLAS-APPLEGATE SECURITIES LLC
January 2, 1996 - August 28, 1998
VP DISTRIBUTORS LLC
December 6, 1994 - January 2, 1996
ALPS DISTRIBUTORS, INC.
Primary Firm SEC Registration
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
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
Series 2
Date: 11/29/1990
Non-Member General Securities ExaminationCurrent Firm
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
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.
