Suzanne L. Graf

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CRD#: 2341198

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 Lee Graf, who also goes by Suzanne Lee Broehm, was a registered financial professional .

Suzanne is a previously registered financial professional and started their career in finance in 2006. Suzanne had worked at 10 firms and has passed the Series 63, Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Suzanne Lee Broehm

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.

Ms. Graf is a licensed insurance agent, appointed with various insurance companies. Ms. Graf is also a licensed insurance agent and Financial Advisor of Strategy Financial Insurance, LLC, 3200 Camelback Road, Suite 285, Phoenix, Arizona 85018, an affiliated insurance agency providing services for retirement, insurance and estate planning. Her affiliation with Strategy Financial Insurance, LLC began 02/2012. Her duties at Strategy Financial Services and Strategy Financial Insurance, LLC as well as her independent insurance work, require a combined 40 hours a week.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 12, 2013 - November 8, 2022

STRATEGY FINANCIAL GROUP

RIA

CRD#: 164531

PHOENIX, AZ

Past

February 8, 2012 - August 20, 2013

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

PHOENIX, AZ

Past

April 20, 2011 - August 9, 2011

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

SCOTTSDALE, AZ

Past

January 19, 2011 - April 5, 2011

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RIA

CRD#: 143384

SCOTTSDALE, AZ

Past

January 3, 2011 - April 5, 2011

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

SCOTTSDALE, AZ

Past

December 2, 2010 - January 18, 2011

VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412

TEA, SD

Past

September 9, 2009 - October 13, 2010

REAP FINANCIAL GROUP, LLC

RIA

CRD#: 144560

GLENDALE, AZ

Past

September 12, 2008 - November 18, 2008

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

JOPLIN, MO

Past

July 2, 2008 - August 3, 2009

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

GLENDALE, AZ

Past

August 23, 2006 - September 21, 2006

PFS INVESTMENTS INC.

CRD#: 10111

SCOTTSDALE, AZ

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".

STRATEGY FINANCIAL GROUP

STRATEGY FINANCIAL GROUP | STRATEGY FINANCIAL SERVICES, LLC | STRATEGY FINANCIAL SERVICES

CRD#: 164531 / SEC#: 801-122298

RIA

Registered Investment Advisory firm - (8/13/2021 Approved)

Arizona

Registered Investment Advisory firm - (9/30/2021 Terminated)

California

Registered Investment Advisory firm - (10/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (9/30/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/17/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/18/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/21/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 8/22/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

STRATEGY FINANCIAL GROUP

STRATEGY FINANCIAL GROUP | STRATEGY FINANCIAL SERVICES, LLC | STRATEGY FINANCIAL SERVICES

CRD#: 164531 / SEC#: 801-122298

RIA

Registered Investment Advisory firm - (8/13/2021 Approved)

Arizona

Registered Investment Advisory firm - (9/30/2021 Terminated)

California

Registered Investment Advisory firm - (10/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (9/30/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/17/2015 Terminated)

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Contact information

Main Address

7010 E Chauncey Lane #130, Phoenix, AZ 85054

Mailing Address

Phone number

(602) 343-9301

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STRATEGY FINANCIAL GROUP ADV 2A AUG 2025 (8/18/2025)

Regulatory assets under management

Total Number of Accounts	1,692
AUM (Assets Under Management)	$ 279,866,584

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.

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Advisor Monitoring

Firm Stability Insights

Suzanne L. Graf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORTER INVESTMENT MANAGEMENT, LLC

REGAL INVESTMENT ADVISORS LLC

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RESOURCE HORIZONS GROUP LLC

VARIABLE INVESTMENT ASSOCIATES, INC.

REAP FINANCIAL GROUP, LLC

MIDAMERICA FINANCIAL SERVICES, INC.

BROOKSTONE CAPITAL MANAGEMENT LLC

PFS INVESTMENTS INC.

Primary Firm SEC Registration

STRATEGY FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 1/18/2011

Series 65

Date: 4/21/2008

Series 6

Date: 8/22/2006

Current Firm

STRATEGY FINANCIAL GROUP

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGY FINANCIAL GROUP

TRUST BUT VERIFY

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