Susan M. Cleeton
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 Merri Cleeton, who also goes by Susan Cleeton Diamond, Susan M Diamond, Susan Cleeton Sehnert, Susan Merri Sehnert, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1999. Susan had worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE, 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
Experience
October 10, 2023 - July 15, 2024
MARCUM WEALTH, LLC
February 19, 2021 - June 8, 2023
PENSION CONSULTANTS INC
March 4, 2020 - January 15, 2021
PRISM FINANCIAL STRATEGIES, LLC
October 17, 2014 - December 19, 2014
CHARLES SCHWAB & CO., INC.
October 16, 2014 - December 19, 2014
CHARLES SCHWAB & CO., INC.
September 2, 2014 - September 5, 2014
EMPOWER FINANCIAL SERVICES, INC.
November 30, 2010 - December 31, 2013
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 29, 2010 - September 2, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 3, 2007 - October 25, 2010
PRINCIPAL SECURITIES, INC.
September 18, 2006 - October 25, 2010
PRINCIPAL SECURITIES, INC.
May 17, 2000 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
May 17, 2000 - July 10, 2006
ONEAMERICA SECURITIES, INC.
October 8, 1999 - April 19, 2000
METROPOLITAN LIFE INSURANCE COMPANY
October 8, 1999 - April 19, 2000
MSI FINANCIAL SERVICES, INC.
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
MARCUM WEALTH, LLC
CRD#: 134628 / SEC#: 801-67563
Contact information
Regulatory assets under management
| Total Number of Accounts | 7,238 |
| AUM (Assets Under Management) | $ 2,972,773,629 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 06/26/2023 | ||
| 12/16/2022 |
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.
