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Susan D. Wier

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CRD#: 1322608
SW

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 Diane Wier, who also goes by Susan Diane Bultman, Susan Diane Fish, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 1985. Susan had worked at 10 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan Diane Bultman | Susan Diane Fish

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.
1ST AMERICAN TRUST LLC & 1ST AMERICAN ADVISORY LLC. STARTED 2002-PRESENT, BLOOMINGTON, IN. PART OWNER OF BOTH COMPANIES BUSINESS OF FINANCIAL SERVICES, FEE BASED FINANCIAL PLANNING, INSURANCE SALES AND SERVICE. TAX PREPARATION FOR CLIENTS 5% OF TIME////VARIOUS INSURANCE CO,AGENT, 1983-PRESENT, NOT INVESTMENT RELATED. FIRST AMERICAN PROPERTIES; BLOOMINGTON, IN 47404; OFFICE PROPERTY RENTAL; CO-OWNER; COMPENSATION IN THE FORM OF RENT PAYMENTS; 1/2 HOUR PER MONTH DURING NON-TRADING HOURS SUNFLOWER GARDENS HOA; COUNTRYSIDE DRIVE BLOOMINGTON, IN; HOMEOWNERS ASSOCIATION; BOARD VICE PRESIDENT; 1 HOUR PER MONTH DURING NON-TRADING HOURS

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

July 22, 2015 - February 17, 2023

REALTA EQUITIES, INC.

BD
CRD#: 23769
BLOOMINGTON, IN
Past

June 4, 2009 - January 6, 2010

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
BLOOMINGTON, IN
Past

February 19, 2008 - January 6, 2010

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
BLOOMINGTON, IN
Past

May 24, 2002 - December 10, 2024

FIRST AMERICAN ADVISORY, LLC

RIA
CRD#: 119825
BLOOMINGTON, IN
Past

May 9, 2002 - February 15, 2008

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
BLOOMINGTON, IN
Past

February 11, 2000 - May 8, 2002

IRWIN UNION SECURITIES

BD
CRD#: 18415
COLUMBUS, IN
Past

January 31, 1997 - February 17, 2000

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

April 5, 1990 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA
Past

September 27, 1988 - April 19, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

BD
CRD#: 2873
NEW YORK, NY
Past

September 7, 1988 - April 19, 1990

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

June 24, 1986 - September 20, 1988

PRINCETON AMERICAN EQUITIES CORPORATION

BD
CRD#: 14491
Past

July 1, 1985 - June 30, 1986

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

March 8, 1985 - July 9, 1985

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137

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.

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/7/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/7/1991
General Securities Principal Examination

Current Firm

RE
REALTA EQUITIES, INC.
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.

CRD#: 23769 / SEC#: , 8-40822

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1201 N. Orange Street Suite 300, Wilmington, DE 92130
Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Phone number
(888) 657-5200
Established
Massachusetts since 01/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ORANGE STREET HOLDINGS, INC.SHAREHOLDER
BALTOVSKI, ALEXANDERFINOP OFFICER2350828
ODOM, AMY ENITHAML OFFICER2674773
PALMER, JACOB DANIELCHIEF COMPLIANCE OFFICER2309603
SCHULTZ, BARRETT OLIVERCHIEF OPERATIONS OFFICER2741114

Disclosures

Regulatory Event7

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.

Company Information

REALTA EQUITIES, INC.

CRD#: 23769

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