Susan Lynn Powers
CFP®Professional Summary
Susan Lynn Powers, CFP® is a registered financial advisor currently at ASSETGRADE, LLC located in Greensboro, Georgia. Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Susan has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
ASSETGRADE, LLC
Contact Information
Main Address
One Boston Place 201 Washington, Suite 2600, Boston, MA 02108-4420Phone Number
(617) 933-7257# of Employees
3SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
739AUM (Assets Under Management)
$337,720,606Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ASSETGRADE, LLC
State Registrations and Notice Filings
(5/27/2016)
(11/10/2022)
(8/11/2016)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1998About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 2005About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Susan Lynn Powers's CRS (Customer Relationship Summary).
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