Susan D. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan Delmer Smith, who also goes by Susan Elizabeth Delmer, Susan Delmer Matthiessen, Susan Matthiessen, Susan D Smith, Susan Delmer Smith, Susan Smith, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1999. Susan had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2025 - August 13, 2025
STRATEGIC ADVISERS LLC
July 30, 2024 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 22, 2024 - August 13, 2025
FIDELITY BROKERAGE SERVICES LLC
June 14, 2023 - May 7, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2023 - May 7, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2021 - November 11, 2022
VICTORY CAPITAL SERVICES, INC.
January 14, 2021 - November 11, 2022
VICTORY CAPITAL MANAGEMENT INC.
October 21, 2019 - December 22, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2019 - December 22, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 2018 - October 14, 2019
LPL FINANCIAL LLC
November 9, 2018 - October 14, 2019
LPL FINANCIAL LLC
August 8, 2011 - March 16, 2018
ADVISORS ASSET MANAGEMENT, INC.
August 8, 2011 - March 16, 2018
ADVISORS ASSET MANAGEMENT, INC.
March 18, 2008 - August 12, 2011
CITIGROUP GLOBAL MARKETS INC.
March 17, 2008 - August 12, 2011
CITIGROUP GLOBAL MARKETS INC.
December 6, 2006 - September 6, 2007
CHASE INVESTMENT SERVICES CORP.
November 8, 2006 - September 6, 2007
CHASE INVESTMENT SERVICES CORP.
December 13, 2001 - October 17, 2006
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 15, 1999 - January 24, 2001
IDS LIFE INSURANCE COMPANY
September 15, 1999 - January 24, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
