SK
Susan D. Kauble
CETERA INVESTMENT ADVISERS LLC
EUGENE, OR 97401
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CRD#: 1539180
SK
Professional summary
Susan Danby Kauble is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eugene, Oregon and CETERA ADVISORS LLC located in Eugene, Oregon.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Susan has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.)KAUBLE FINANCIAL. SOLE PROPRIETOR. HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY. FLOW THROUGH ACCOUNT FOR EXPENSES. START DATE 1/1/1990. 2.) Relief Nursery; Board of Directors; Non-Profit Organization; start date 01/01/2008; 4 hours per month. 3.) Susan Kauble; Partner; Real Estate(Rental Property/Passive Investment); start date 01/01/1990; 4 hours per month. 4.) DANBY FAMILY LLC; MEMBER; REAL ESTATE (RENTAL PROPERTY/PASSIVE INVESTMENT); STARTED 12/20/2018; 4 HOURS PER MONTH. 5.) SHARON AND DENNIS O'NEIL; EXECUTOR; FIDUCUARY POSITION (TRUSTEE,POA,EXECUTOR, ETC.); START DATE 08/12/2019; 4 HOURS PER MONTH. 6.) PEO CHAPTER AM; TREASURER; NON PROFIT ORGANIZATION; START DATE 04/01/2020; 4 HOURS PER MONTH. 7.) BRIGHT FUTURE WEALTH MANAGEMENT; PARTNER; DBA; START DATE: 10/22/2021; 4 HOURS PER MONTH. 8.) NAME OF OTHER BUSINESS: JASK PROPERTIES, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: RENTAL PROPERTIES; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTIES;
CRS (Client Relationship Summary) - RIA
Click below to view Susan Danby Kauble'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 169 W. 6th Ave Suite 102, Eugene, OR 97401RIA
CRD#: 105644
EUGENE, OR
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 169 West 6th Avenue Suite 102, Eugene, OR 97401BD
CRD#: 10299
Eugene, OR
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
EUGENE, OR
Past
September 17, 2004 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
EUGENE, OR
Past
December 15, 1994 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
EUGENE, OR
Past
May 31, 1989 - December 23, 1994
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
LA JOLLA, CA
Past
August 28, 1986 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
BD
CRD#: 6871
SAN DIEGO, CA
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
Arizona(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Florida(9/8/2022)
IAR
Oregon(11/12/2020)
RR
Oregon(9/8/2022)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Eugene, OR 97401TRUST BUT VERIFY
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