Susanna H. Hartwig
Professional summary
Susanna Harper Hartwig, who also goes by Susan Harper Fuller, Ava Susan Harper, Susan Harper, Susanna Harper, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Dallas, Texas and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Susanna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Susanna has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Susanna Harper Hartwig's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2022 - Present
PRINCIPAL ADVISED SERVICES
September 30, 2008 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392October 2, 2008 - October 31, 2022
PRINCIPAL SECURITIES, INC.
February 8, 2008 - July 29, 2008
EDWARD JONES
January 7, 2008 - July 29, 2008
EDWARD JONES
March 22, 2007 - September 4, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 21, 2004 - March 28, 2007
ONEAMERICA SECURITIES, INC.
October 21, 2002 - December 20, 2002
EMPOWER FINANCIAL SERVICES, INC.
June 21, 1999 - October 21, 2002
ONE ORCHARD EQUITIES, INC.
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/9/2021)
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(9/30/2008)
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(4/1/2024)
(2/9/2021)
(7/30/2009)
(9/30/2008)
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(2/19/2021)
(2/9/2021)
(9/30/2008)
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(3/18/2021)
(2/10/2021)
(9/30/2008)
(2/9/2021)
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(2/9/2021)
(9/30/2008)
(10/31/2022)
(2/9/2021)
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(2/9/2021)
Exams
FINRA
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
