Susan J. Cavell
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 Jean Cavell, who also goes by Susan Jean Baughman, Susan Jean Casarotto, Susan Jean Cavall, Susan Juan Lavall, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1993. Susan had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - April 1, 2016
CETERA INVESTMENT ADVISERS LLC
May 26, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
October 14, 2004 - April 1, 2016
CETERA INVESTMENT SERVICES LLC
May 2, 2001 - October 26, 2004
FIFTH THIRD SECURITIES, INC.
August 16, 1996 - May 2, 2001
OLD KENT FINANCIAL ADVISORS
September 15, 1993 - August 15, 1996
CAPITAL BROKERAGE CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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
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.
