Susan L. Currier
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 Lee Currier, who also goes by Susan Lee Herendeen, Susan Lee Macpherson, 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 66, Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2016 - April 16, 2024
CETERA INVESTMENT ADVISERS LLC
October 28, 2016 - April 16, 2024
CETERA INVESTMENT SERVICES LLC
June 3, 2016 - August 18, 2016
OSAIC INSTITUTIONS, INC.
June 13, 2007 - August 18, 2016
OSAIC INSTITUTIONS, INC.
October 5, 2001 - June 7, 2007
FIFTH THIRD SECURITIES, INC.
April 5, 2000 - October 3, 2001
CAPSTONE PARTNERS, L.C.
August 27, 1999 - April 7, 2000
PFS INVESTMENTS INC.
September 1, 1994 - August 12, 1998
FIRST OF AMERICA SECURITIES, INC.
February 13, 1992 - October 10, 1994
NATCITY INSURANCE SERVICES, INC.
May 13, 1987 - April 19, 1991
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
July 24, 1985 - March 30, 1987
FFPS BROKERAGE, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
