Susan K. Thompson
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 K Thompson, CFP®, who also goes by Susan Kay Adler, Susan Adler, Sue Thompson, Susan Kay Thompson, Susan Thompson, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1993. Susan had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2012 - December 5, 2024
SCHWAB WEALTH ADVISORY, INC.
May 5, 1997 - December 5, 2024
CHARLES SCHWAB & CO., INC.
January 10, 1994 - November 12, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 1993 - October 22, 1993
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
