SM
Susan M. Mims
STRATEGIC ASSET MANAGEMENT LLC.
IOWA CITY, IA
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CRD#: 4202677
SM
Professional summary
Susan Marshall Mims, CFP®, who also goes by Susan Ruth Marshall, Susan Ruth Mims, is a registered financial advisor currently at STRATEGIC ASSET MANAGEMENT LLC. located in Iowa City, Iowa.
Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Susan has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Ruth Marshall | Susan Ruth Mims
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.
1.) SUSAN MIMS INDEPENDENT INSURANCE - AGENT - CORALVILLE, IA - SINCE 09/2010 - INVESTMENT RELATED 2.) IOWA CITY COMMUNITY THEATHER - MEMBER - IOWA CITY, IA - SINCE 01/2023 - NOT INVESTMENT RELATED 3.) MIMS FINANCIAL SERVICES - PRESIDENT - DBA NAME FOR MARKETING PURPOSES ONLY - CORALVILLE, IA - SINCE 06/2018 - INVESTMENT RELATED 4.) CHRISTIAN RETIREMENT SERVICES dba OAKNOLL - Member - Community, Civic or Charitable Board Member or Officer - Coralville IA - Since 01/2023 - NOT INVESTMENT RELATED 5.) STRATEGIC ASSET MANAGEMENT - Independent RIA - IAR - NO OWNERSHIP - INVESTMENT RELATED - 30 HRS DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Susan Marshall Mims'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: 2006
Experience
Current
October 5, 2020 - Present
STRATEGIC ASSET MANAGEMENT LLC.
RIA
CRD#: 306384
IOWA CITY, IA
Past
November 2, 2020 - December 10, 2020
DEMPSEY LORD SMITH, LLC
BD
CRD#: 141238
IOWA CITY, IA
Past
July 15, 2016 - October 12, 2020
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
CORALVILLE, IA
Past
September 3, 2010 - October 5, 2020
RDA FINANCIAL NETWORK
RIA
CRD#: 147309
CORALVILLE, IA
Past
September 3, 2010 - July 29, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
CORALVILLE, IA
Past
June 26, 2000 - September 3, 2010
HEARTLAND INVESTMENT ASSOCIATES, INC.
BD
CRD#: 26974
IOWA CITY, IA
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".
SA
STRATEGIC ASSET MANAGEMENT LLC.
FINE WEALTH MANAGEMENT | STRATEGIC TAX & RETIREMENT | STRATEGIC INSURANCE GROUP | STRATEGIC ASSET MANAGEMENT LLC. | RIDGELINE FINANCIAL SERVICES | PLANNING WITH PURPOSE FOR REAL | MIMS FINANCIAL SERVICES
CRD#: 306384 / SEC#: 801-120401
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)Iowa
Registered Investment Advisory firm - (3/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - (3/11/2021 Terminated)Texas
Registered Investment Advisory firm - (6/8/2021 Terminated)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
Iowa(10/5/2020)
IAR
Texas(6/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SA
STRATEGIC ASSET MANAGEMENT LLC.
FINE WEALTH MANAGEMENT | STRATEGIC TAX & RETIREMENT | STRATEGIC INSURANCE GROUP | STRATEGIC ASSET MANAGEMENT LLC. | RIDGELINE FINANCIAL SERVICES | PLANNING WITH PURPOSE FOR REAL | MIMS FINANCIAL SERVICES
CRD#: 306384 / SEC#: 801-120401
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)Iowa
Registered Investment Advisory firm - (3/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - (3/11/2021 Terminated)Texas
Registered Investment Advisory firm - (6/8/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2434 Superior Drive Nw Suite 101, Rochester, MN 55901
Mailing Address
Phone number
(888) 526-8755
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 633 |
| AUM (Assets Under Management) | $ 124,399,526 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
