E. D. Wannen

SUSTAINVEST ASSET MANAGEMENT

Petaluma, CA 94952

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CRD#: 3147650

Professional summary

E. Dale Wannen, who also goes by Dale Wannen, is a registered financial advisor currently at SUSTAINVEST ASSET MANAGEMENT, LLC located in Petaluma, California.

E. is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. E. has worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dale Wannen

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) - RIA

Click below to view E. Dale Wannen'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

April 4, 2013 - Present

SUSTAINVEST ASSET MANAGEMENT, LLC

Office #1: 755 Baywood Drive Suite 200, Petaluma, CA 94952Office #2: 99 New Road Central Square 42b, Linwood, NJ, 08221

RIA

CRD#: 166685

Petaluma, CA

Past

October 28, 2011 - April 3, 2013

HARRINGTON INVESTMENTS, INC.

RIA

CRD#: 110790

NAPA, CA

Past

January 24, 2005 - December 5, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

December 17, 2004 - December 5, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 13, 2002 - January 16, 2004

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

SAN FRANCISCO, CA

Past

October 1, 2000 - August 19, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 12, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

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".

SUSTAINVEST ASSET MANAGEMENT, LLC

CRD#: 166685 / SEC#: 801-132906

RIA

Registered Investment Advisory firm - (6/2/2025 Approved)

California

Registered Investment Advisory firm - (7/24/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (6/24/2025 Terminated)

New Jersey

Registered Investment Advisory firm - (6/26/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/24/2025 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.

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

California
(4/4/2013)

IAR

Louisiana
(3/1/2021)

IAR

New Jersey
(3/12/2024)

IAR

Texas
(2/24/2021)

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: 10/27/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/21/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/12/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/9/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SUSTAINVEST ASSET MANAGEMENT, LLC

CRD#: 166685 / SEC#: 801-132906

RIA

Registered Investment Advisory firm - (6/2/2025 Approved)

California

Registered Investment Advisory firm - (7/24/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (6/24/2025 Terminated)

New Jersey

Registered Investment Advisory firm - (6/26/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/24/2025 Terminated)

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Contact information

Main Address

199 New Road Central Square 42b, Linwood, NJ, 08221

Mailing Address

Phone number

(609) 904-6028

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUSTAINVEST FORM ADV PART 2A (MAY 1, 2025) (5/1/2025)

Regulatory assets under management

Total Number of Accounts	384
AUM (Assets Under Management)	$ 114,042,876

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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E. D. Wannen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view E. Dale Wannen's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARRINGTON INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

FIRST REPUBLIC SECURITIES COMPANY, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

SUSTAINVEST ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/2011

Series 66

Date: 1/21/2005

Series 63

Date: 3/17/2000

Series 7

Date: 9/12/2003

Series 6

Date: 6/9/2000

Current Firm

SUSTAINVEST ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUSTAINVEST ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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