Susan Hall

SCHWAB WEALTH ADVISORY

Santa Fe, NM

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CRD#: 2553760

Professional summary

Susan Hall, who also goes by Susan M Hall, Susan Margarita Hall, Susan Hall, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Santa Fe, New Mexico and CHARLES SCHWAB & CO., INC. located in Lone Tree, Colorado.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Susan has worked at 6 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 7 and Series 24 exams.

Aliases

Susan M Hall | Susan Margarita Hall | Susan Hall

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Hall's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 15, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Santa Fe, NM

Current

November 4, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 9800 Schwab Way, Lone Tree, CO 80124

RIA

CRD#: 5393

Lone Tree, CO

Past

November 5, 2025 - August 6, 2026

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SAN FRANCISCO, CA

Past

June 15, 2020 - June 17, 2024

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

DENVER, CO

Past

June 15, 2020 - June 17, 2024

RBC CAPITAL MARKETS, LLC

CRD#: 31194

DENVER, CO

Past

September 14, 2018 - June 1, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SOUTHLAKE, TX

Past

August 29, 2018 - June 1, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SOUTHLAKE, TX

Past

September 1, 2010 - July 20, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DALLAS, TX

Past

June 16, 2010 - July 20, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DALLAS, TX

Past

August 18, 1998 - November 25, 2002

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

IRVING, TX

Past

August 17, 1998 - November 25, 2002

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

May 31, 1996 - July 10, 1998

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

February 17, 1995 - December 22, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(11/5/2025)

Arizona
(11/14/2025)

California
(11/4/2025)

Colorado
(11/4/2025)

Hawaii
(11/5/2025)

Idaho
(11/4/2025)

Montana
(11/4/2025)

Nevada
(11/4/2025)

New Mexico
(11/4/2025)

IAR

New Mexico
(12/16/2025)

Oregon
(11/5/2025)

Texas
(11/5/2025)

IAR

Texas
(12/15/2025)

Utah
(11/4/2025)

Washington
(11/4/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/16/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/30/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/27/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/1/1996

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

9800 Schwab Way, Lone Tree, CO 80124

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (12/11/2025)

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

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Susan Hall

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Hall's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/16/2018

Series 66

Date: 8/30/2010

Series 65

Date: 2/27/1995

SIE

Date: 10/1/2018

Series 7

Date: 6/15/2010

Series 24

Date: 8/1/1996

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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