Susan B. Haugen
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 Becky Haugen, who also goes by Susan Ristau, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2009. Susan had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2010 - August 31, 2023
RMR WEALTH ADVISORS LLC
June 4, 2009 - August 5, 2009
ENRICH FINANCIAL PARTNERS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Current Firm
RMR WEALTH ADVISORS LLC
CRD#: 151173 / SEC#: 801-70487
Contact information
Regulatory assets under management
| Total Number of Accounts | 487 |
| AUM (Assets Under Management) | $ 369,330,046 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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