Susan D. Spangler

CETERA INVESTMENT ADVISERS LLC

BROOMFIELD, CO 80020

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CRD#: 3113313

Professional summary

Susan Davidson Spangler, who also goes by Susan Perry Davidson, Susan Davidson, Susan Perry Spangler, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Broomfield, Colorado and CETERA WEALTH SERVICES, LLC located in Broomfield, Colorado.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Susan has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Perry Davidson | Susan Davidson | Susan Perry Spangler

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.

1. NAME OF OTHER BUSINESS: DBA MBA WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 04/16/2012 POSITION/TITLE/RELATIONSHIP: DIRECTOR OF OPERATIONS APX NUMBER OF HOURS PER WEEK: 27 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES. 2. WOODROW WILSON ACADEMY, NOT INVESTMENT RELATED, 8300 W. 94TH AVE., WESTMINSTER, CO 80021, LIBRARY ASSISTANCE, START 09/01/2013, 1-2 HRS/WK (NON-TRADING HOURS), VOLUNTEER AT CHILD'S SCHOOL;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Davidson Spangler'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

July 1, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 6363 W. 120th Ave Ste 201, Broomfield, CO 80020

RIA

CRD#: 105644

BROOMFIELD, CO

Current

April 16, 2012 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 6363 W. 120th Ave Ste 201, Broomfield, CO 80020

CRD#: 13572

Broomfield, CO

Past

July 13, 2011 - April 17, 2012

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

BOULDER, CO

Past

July 13, 2011 - April 17, 2012

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

BOULDER, CO

Past

April 30, 2009 - July 12, 2011

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

BOULDER, CO

Past

April 30, 2009 - July 12, 2011

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

BOULDER, CO

Past

January 18, 2007 - February 19, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

BOULDER, CO

Past

January 18, 2007 - February 19, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

BOULDER, CO

Past

October 21, 2005 - June 1, 2006

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

BROOMFIELD, CO

Past

October 2, 1998 - June 1, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

BROOMFIELD, CO

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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

Colorado
(4/16/2012)

IAR

Colorado
(7/1/2025)

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

IAR

Series 66

Date: 6/27/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/1/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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 D. Spangler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/27/2025

Series 63

Date: 10/26/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/1/1998

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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