Susan Cruz
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 Cruz, CFP®, who also goes by Susan Andersen, Susan Anderson, Sue Porteous, Susan (none) Porteous, Susan Porteous, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1998. Susan had worked at 4 firms and has passed the Series 66, 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
December 4, 2012 - January 26, 2018
STRATEGIC ADVISERS LLC
August 20, 2012 - January 19, 2018
FIDELITY BROKERAGE SERVICES LLC
October 27, 2006 - July 2, 2012
CHARLES SCHWAB & CO., INC.
July 20, 2006 - July 2, 2012
CHARLES SCHWAB & CO., INC.
July 7, 2005 - July 21, 2006
LPL FINANCIAL LLC
December 5, 2002 - June 13, 2005
CHARLES SCHWAB & CO., INC.
April 3, 1998 - October 29, 2002
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
