SW
Susan M. Walla
CETERA INVESTMENT ADVISERS LLC
LANSDALE, PA 19446
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CRD#: 1892109
SW
Professional summary
Susan Marie Walla, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lansdale, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Lansdale, Pennsylvania.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Susan has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Comprehensive Financial Planni...
Tax Planning
How do you get paid?
Commission and Fee
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) Chalfont United Methodist Church~11 Meadowbrook Ln.~Chalfont~PA~18914~Nonprofit~Treasurer/Comptroller~12/1/2004~12hrs~0hrs~Church Treasurer - check-writing, payroll & accounting. As of March 2015, because of a change in officers, I share control of a Vanguard Brokerage acct which is usually empty but kept open in case we receive a charitable donation of stock shares. 2) Insurance agent~925 Harvest Dr., Suite 170~Blue Bell~PA~19422~Independent Insurance Agent~Insurance Sales Agent~12/17/2008~5hrs~5hrs~insurance sales - American General Life Ins, Commonwealth Annuity & Life Ins, Genworth Life Ins, Hartford Life & Annuity Ins, Hartford Life Ins, ING Life Ins & Annuity Co, ING USA Annuity & Life Ins, Ja. 3) SUSAN M WALLA CFP, EA POSITION: Tax Preparation/Accounting NATURE: Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 80 START DATE: 01/01/1988 ADDRESS: SAME AS RESIDENTIAL ADDRESS. DESCRIPTION: Preparation of tax returns, tax planning, audit representation, payroll tax forms, bookkeeping. As the business owner, a large part of my time is also spent on general administration of the business. 4) HARMONY WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: DBA financial services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/01/2024 ADDRESS: 1816 West Point Pike, Suite 122, Lansdale PA 19446, United States DESCRIPTION: investment management, financial planning, financial services, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Marie Walla'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®
CFP®
Start date: 2004
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1816 West Point Pike Suite 122, Lansdale, PA 19446RIA
CRD#: 105644
LANSDALE, PA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1816 West Point Pike Suite 122, Lansdale, PA 19446BD
CRD#: 13572
Lansdale, PA
Past
March 23, 1999 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Lansdale, PA
Past
November 25, 1998 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Lansdale, PA
Past
November 15, 1988 - December 31, 1990
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Florida(9/5/2025)
RR
Maryland(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
Pennsylvania(9/5/2025)
IAR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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Check for any disclosures as part of your thorough research when choosing an advisor.
