SP
Susan Perry
CETERA INVESTMENT ADVISERS LLC
WARWICK, NY 10990
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CRD#: 1471585
SP
Professional summary
Susan Perry, who also goes by Susan Barry, Susan B Perry, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Warwick, New York and CETERA WEALTH SERVICES, LLC located in Warwick, New York.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Susan has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Barry | Susan B Perry
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.
1) FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
FIXED INSURANCE,
START 09/2011,
16HRS/WK (TRADING HOURS),
INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE;
2) OWNER RENTAL PROPERTY CONDO IN FL,
UNDER NAME BARRY PALM LLC,
FOR 1HR/WK & 1HR EVENING & WKENDS,
SINCE 7/2010;
3) SUSAN PERRY,
NOT INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
DEBT COUNSELING,
START 09/2011,
5HRS/WK (4 TRADING HOURS),
DISCUSS WITH CLIENTS HOW TO DEAL WITH CONSUMER DEBT.;
4) NAME OF OTHER BUSINESS: BPS FINANCIAL SERVICES ;
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: FINANCIAL SERVICES ;
START DATE: 01/2020 ;
POSITION/TITLE/RELATIONSHIP: DBA NAME ;
APX NUMBER OF HOURS PER WEEK: NONE ;
APX NUMBER OF HOURS DURING TRADING HOURS: NONE ;
BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR FINANCIAL SERVICES ;
CRS (Client Relationship Summary) - RIA
Click below to view Susan Perry's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10 Oakland Ave 2nd Floor, Warwick, NY 10990RIA
CRD#: 105644
WARWICK, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10 Oakland Ave 2nd Floor, Warwick, NY 10990BD
CRD#: 13572
Warwick, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 26, 2012 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
WARWICK, NY
Past
July 21, 2011 - February 14, 2012
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
WARWICK, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
