Suzanne D. Stepan
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.
Suzanne Dale Stepan, CFP®, who also goes by Suzanne Dale Krihak, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1990. Suzanne had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 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: 2010
Experience
July 12, 2019 - August 17, 2020
HEMMING& WEALTH MANAGEMENT, INC.
January 25, 2019 - June 25, 2019
MERCER GLOBAL ADVISORS INC.
October 19, 2010 - May 22, 2019
FIM GROUP
October 18, 2001 - December 20, 2002
CONNING & COMPANY
August 1, 1999 - January 10, 2000
CONNING & COMPANY
January 8, 1990 - September 10, 1999
NODDINGS AND ASSOCIATES, INC.
Primary Firm SEC Registration
HEMMING& WEALTH MANAGEMENT, INC.
CRD#: 300918 / SEC#: 801-114962
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
HEMMING& WEALTH MANAGEMENT, INC.
CRD#: 300918 / SEC#: 801-114962
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,525 |
| AUM (Assets Under Management) | $ 253,122,835 |
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.
