AS
Andrew H. Susanin
RIA ADVISORY GROUP
Des Moines, IA 50309
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CRD#: 2991266
AS
Professional summary
Andrew Hughes Susanin is a registered financial advisor currently at RIA ADVISORY GROUP, LLC located in Des Moines, Iowa.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Andrew has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
09/30/2013 - FIXED INSURANCE SALES/ SALE OF NON-VARIABLE INSURANCE/ 2%/ WEST DES MOINES, IA
11/3/2015: A.H. Susanin, L.L.C. - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/16/2015 - 40 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Hughes Susanin's 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®
NoneExperience
Current
August 19, 2020 - Present
RIA ADVISORY GROUP, LLC
Office #1: 500 Sw 7th Street Suite 305, Des Moines, IA 50309RIA
CRD#: 152566
Des Moines, IA
Past
July 27, 2018 - September 15, 2020
BALEFIRE, LLC
RIA
CRD#: 168733
Des Moines, IA
Past
October 2, 2013 - August 26, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
DES MOINES, IA
Past
September 30, 2013 - December 31, 2017
BALEFIRE, LLC
RIA
CRD#: 168733
DALLAS, TX
Past
September 30, 2013 - August 26, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
DES MOINES, IA
Past
September 16, 2002 - October 1, 2013
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
WEST DES MOINES, IA
Past
January 18, 1999 - July 11, 2008
CAULDWELL FINANCIAL GROUP INC
RIA
CRD#: 106871
WEST DES MOINES, IA
Past
April 28, 1998 - October 1, 2013
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
WEST DES MOINES, IA
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".
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)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.Highlighted states indicate IAR registrations
IAR
Iowa(8/19/2020)
IAR
Texas(12/13/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 Sw 7th Street Suite 204, Des Moines, IA 50309
Mailing Address
Phone number
(515) 965-8588
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,009 |
| AUM (Assets Under Management) | $ 456,517,836 |
Red Flags
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Company Information
RIA ADVISORY GROUP, LLC
CRD#: 152566Des Moines, IA 50309TRUST BUT VERIFY
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