Susan B. Hart

ALBANYADVISOR GROUP LLC

Albany, NY 12211-2396

Some features on this profile are disabled

CRD#: 4210326

Professional summary

Susan Bethany Hart, CFP®, who also goes by Susan Bethany Marshall, is a registered financial advisor currently at ALBANYADVISOR GROUP LLC located in Albany, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Susan has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Bethany Marshall

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) ALBANYADVISOR GROUP. Investment Related. 20 Corporate Woods Blvd, Albany NY 12211. RIA. IAR. Start 10/2021. 160 hours per month, 130 during trading. 2) PKS FINANCIAL. Not Investment Related. 80 State Street, Albany NY 12207. Fixed Insurance. Agent. Start 11/2006. 1 hour per month during trading. Sales and services of fixed life insurance and annuity contracts. 3) AAG Insurance Services LLC. Not Investment Related. At Registered Branch Office location. Insurance Agency. Owner. Start 09/2015. 4 hrs/month. 4 hrs during trading. Collection and reconciliation of Insurance commissions and overrides.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Bethany Hart's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2004

Experience

Current

October 21, 2021 - Present

ALBANYADVISOR GROUP LLC

Office #1: 20 Corporate Woods Blvd.. Suite 400, Albany, NY 12211-2396

RIA

CRD#: 316226

Albany, NY

Current

November 24, 2006 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 20 Corporate Woods Blvd Suite 400, Albany, NY 12211Office #2: 80 State Street, Albany, NY 12207

CRD#: 35747

Albany, NY

Past

May 7, 2008 - December 31, 2022

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

ALBANY, NY

Past

January 11, 2002 - December 8, 2006

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

ALBANY, NY

Past

April 12, 2001 - October 22, 2001

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

August 4, 2000 - September 18, 2000

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

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".

ALBANYADVISOR GROUP LLC

ALBANY ADVISOR GROUP | ALBANYADVISOR GROUP LLC | ALBANY ADVISOR GROUP, LLC

CRD#: 316226 / SEC#: 801-122496

RIA

Registered Investment Advisory firm - (10/15/2021 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/29/2006)

Connecticut
(1/10/2007)

Florida
(11/29/2006)

Maryland
(1/11/2007)

Massachusetts
(11/27/2006)

Michigan
(1/11/2016)

New Hampshire
(6/23/2015)

New Jersey
(11/27/2006)

New York
(11/24/2006)

IAR

New York
(10/21/2021)

North Carolina
(2/5/2013)

South Carolina
(3/14/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/1/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALBANYADVISOR GROUP LLC

ALBANY ADVISOR GROUP | ALBANYADVISOR GROUP LLC | ALBANY ADVISOR GROUP, LLC

CRD#: 316226 / SEC#: 801-122496

RIA

Registered Investment Advisory firm - (10/15/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

20 Corporate Woods Blvd.. Suite 400, Albany, NY 12211-2396

Mailing Address

Phone number

(518) 689-3577

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAG DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (2/6/2025)

Regulatory assets under management

Total Number of Accounts	936
AUM (Assets Under Management)	$ 270,450,487

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.

Similar Advisors

Nichole Raftopoulos

NVEST FINANCIAL, LLC

IAR

Portland, ME

Douglas Kelly

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Latham, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Susan B. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Bethany Hart's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PKS ADVISORY SERVICES, LLC

KEYBANC CAPITAL MARKETS INC.

GLEACHER & COMPANY SECURITIES, INC.

GLEACHER & COMPANY SECURITIES, INC.

Primary Firm SEC Registration

ALBANYADVISOR GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/2007

Series 63

Date: 8/17/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/3/2000

FINRA

Current Firm

ALBANYADVISOR GROUP LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALBANYADVISOR GROUP LLC

TRUST BUT VERIFY

Similar Advisors