SP
Susan L. Pool
IMA WEALTH
Wichita, KS 67202
Some features on this profile are disabled
CRD#: 3178683
SP
Professional summary
Susan Louise Pool, AIF®, CFP®, who also goes by Susan Louise Carney, is a registered financial advisor currently at IMA WEALTH located in Wichita, Kansas.
Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Susan has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Louise Carney
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.
Wichita Habitat for Humanity, non-investment related, 130 E Murdock, Ste 102, Wichita, KS 67214, Habitat for Humanity is a non-profit organization dedicated to improving lives through affordable homeownership, Director/Officer, January 1, 2021, 12 hours per month during non-trading hours. Wichita Salvation Army, non-investment related, 350 N. Market St. Wichita, KS 67202, non-profit organization assisting those in need, Advisory Board and Executive Committee member, member since 1996, 5 hours per month during trading hours, to further the goals and objectives of The Salvation Army in pursuit of its mission by serving on the finance, executive and development committee. Finance does not involve investment related activities, just reviewing income, operating expense and trust and related ledgers. SMPHoldings, LLC, non-investment related, 384 N Jackson Heights Ct., Wichita, KS, 67206, Residential real estate investments, Owner, started in 2019, 1 hour per month during non-trading hours, invest in real estate properties.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Louise Pool's 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®
CFP®
Start date: 2008
Experience
Current
February 5, 2014 - Present
IMA WEALTH
Office #1: 430 E Douglas Ave Suite 400, Wichita, KS 67202RIA
CRD#: 112091
Wichita, KS
Past
August 8, 2001 - December 18, 2023
IMA WEALTH
BD
CRD#: 112091
WICHITA, KS
Past
October 6, 1999 - March 3, 2014
TRUENORTH, INC.
RIA
CRD#: 110198
WICHITA, KS
Past
March 2, 1999 - July 13, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
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".
IW
IMA WEALTH
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
RIA
Registered Investment Advisory firm - SEC (2/5/2014 Approved)BD
Terminated by SEC on 02/16/2024
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
Kansas(2/5/2014)
IAR
Texas(2/5/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
IW
IMA WEALTH
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
RIA
Registered Investment Advisory firm - SEC (2/5/2014 Approved)BD
Terminated by SEC on 02/16/2024
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Contact information
Main Address
1705 17th Street Suite 100, Denver, CO 80202
Mailing Address
430 E Douglas Ave Suite 400, Wichita, KS 67202
Phone number
(316) 266-6574
Established
Kansas since 06/23/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
46
SEC notice filing (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC. | SHAREHOLDER | |
| DAVIS, PATRICIA LYNN | SVP, CCO, DIRECTOR | 5613123 |
| HOLT, RICHARD WILLIAM | PRESIDENT, DIRECTOR, CIO, FINOP | 2778485 |
| PAULY, ERIC MICHAEL | GENERAL COUNSEL/SECRETARY | 7719772 |
| POOL, SUSAN LOUISE | SENIOR VICE PRESIDENT/DIRECTOR | 3178683 |
Regulatory assets under management
| Total Number of Accounts | 1,514 |
| AUM (Assets Under Management) | $ 3,158,410,252 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
IMA WEALTH
CRD#: 112091Wichita, KS 67202TRUST BUT VERIFY
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