Susan E. Siemens
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 E Siemens, who also goes by Susan Elizabeth Sager, Susan Elizabeth Siemens, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1994. Susan had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 10, Series 9 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
April 5, 2010 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 5, 2010 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 8, 2008 - March 24, 2010
LPL FINANCIAL LLC
February 8, 2008 - March 24, 2010
LPL FINANCIAL LLC
January 8, 2007 - January 20, 2010
LINKER FINANCIAL GROUP, INC.
October 5, 2006 - February 14, 2008
OSAIC FS, INC.
May 20, 2004 - September 6, 2006
MORGAN STANLEY DW INC.
May 20, 2004 - September 6, 2006
MORGAN STANLEY DW INC.
May 15, 2001 - May 28, 2004
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - May 28, 2004
WELLS FARGO INVESTMENTS, LLC
July 26, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
October 16, 1998 - July 16, 1999
SUTRO & CO. INCORPORATED
December 15, 1997 - October 19, 1998
TD AMERITRADE, INC.
June 28, 1994 - December 3, 1997
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
