Susan K. Salton

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CRD#: 2769338

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 Kaye Salton, who also goes by Sue Salton, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 1996. Susan had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sue Salton

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)

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

April 27, 2012 - July 11, 2014

NORTHWEST WEALTH MANAGEMENT, LLC

RIA

CRD#: 152816

SPENCER, IA

Past

October 14, 2009 - May 25, 2012

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SPENCER, IA

Past

October 14, 2009 - May 25, 2012

SECURITIES AMERICA, INC.

CRD#: 10205

SPENCER, IA

Past

March 21, 2005 - November 4, 2009

OSAIC FS, INC.

RIA

CRD#: 3870

SPENCER, IA

Past

March 15, 2005 - November 4, 2009

OSAIC FS, INC.

CRD#: 3870

SPENCER, IA

Past

December 3, 1999 - March 21, 2005

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

JOHNSTON, IA

Past

January 4, 1999 - March 21, 2005

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

Past

March 28, 1997 - October 19, 1998

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

July 16, 1996 - March 31, 1997

BOATMEN'S INVESTMENT SERVICES, INC.

CRD#: 17533

ST. LOUIS, MO

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".

NORTHWEST WEALTH MANAGEMENT, LLC

CRD#: 152816 / SEC#: 801-72545

RIA

Registered Investment Advisory firm - (7/5/2011 Approved)

Indiana

Registered Investment Advisory firm - (7/12/2011 Terminated)

Iowa

Registered Investment Advisory firm - (7/18/2011 Terminated)

Nebraska

Registered Investment Advisory firm - (8/31/2011 Terminated)

South Dakota

Registered Investment Advisory firm - (7/12/2011 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2011 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

IAR

Series 65

Date: 5/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/15/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/7/2006

General Securities Principal Examination

Current Firm

NORTHWEST WEALTH MANAGEMENT, LLC

CRD#: 152816 / SEC#: 801-72545

RIA

Registered Investment Advisory firm - (7/5/2011 Approved)

Indiana

Registered Investment Advisory firm - (7/12/2011 Terminated)

Iowa

Registered Investment Advisory firm - (7/18/2011 Terminated)

Nebraska

Registered Investment Advisory firm - (8/31/2011 Terminated)

South Dakota

Registered Investment Advisory firm - (7/12/2011 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2011 Terminated)

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Contact information

Main Address

1607 W. 18th Street, Spencer, IA 51301

Mailing Address

Phone number

(877) 207-0994

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/5/2025)

Regulatory assets under management

Total Number of Accounts	4,063
AUM (Assets Under Management)	$ 865,221,987

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

Susan K. Salton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

OSAIC FS, INC.

OSAIC FS, INC.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

INVESTMENT CENTERS OF AMERICA, INC.

BOATMEN'S INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

NORTHWEST WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/1999

Series 63

Date: 7/24/1996

Series 7

Date: 7/15/1996

Series 24

Date: 8/7/2006

Current Firm

NORTHWEST WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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