Susan C. Fisher
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 Carol Fisher, CFP® was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1989. Susan had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
Start date: 1993
Experience
January 19, 2021 - January 2, 2023
NOVEM GROUP
January 13, 2021 - December 31, 2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 23, 2016 - January 13, 2021
FLAGSHIP WEALTH ADVISORS, LLC.
September 18, 2009 - January 15, 2021
OSAIC WEALTH, INC.
December 13, 1993 - January 15, 2021
OSAIC WEALTH, INC.
January 24, 1989 - December 15, 1993
IDS LIFE INSURANCE COMPANY
January 24, 1989 - December 15, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NOVEM GROUP
CRD#: 158964 / SEC#: 801-72741
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
NOVEM GROUP
CRD#: 158964 / SEC#: 801-72741
Contact information
SEC notice filing (32 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 1,413,641,568 |
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.
