Susanne M. Naso
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.
Susanne Marie Naso, who also goes by Susanne Marie Naso Johnson, was a registered financial professional .
Susanne is a previously registered financial professional and started their career in finance in 2000. Susanne had worked at 7 firms and has passed the Series 65, Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2023 - March 2, 2026
ORION PORTFOLIO SOLUTIONS, LLC
January 11, 2021 - March 2, 2026
BRINKER CAPITAL SECURITIES, LLC
February 12, 2020 - January 6, 2023
ORION PORTFOLIO SOLUTIONS, LLC
May 12, 2010 - November 5, 2015
TD AMERITRADE, INC.
May 12, 2010 - November 5, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 12, 2010 - February 25, 2019
TD AMERITRADE, INC.
January 26, 2009 - April 12, 2010
TD WEALTH MANAGEMENT SERVICES INC.
January 8, 2009 - April 12, 2010
TD WEALTH MANAGEMENT SERVICES INC.
May 18, 2005 - March 31, 2008
HAVERFORD TRUST SECURITIES, INC.
November 15, 2000 - April 14, 2005
HAVERFORD TRUST SECURITIES, INC.
Primary Firm SEC Registration
ORION PORTFOLIO SOLUTIONS, LLC
CRD#: 107975 / SEC#: 801-57265
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ORION PORTFOLIO SOLUTIONS, LLC
CRD#: 107975 / SEC#: 801-57265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 203,878 |
| AUM (Assets Under Management) | $ 57,658,151,186 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 10/21/2024 | ||
| 01/17/2024 | ||
| 10/25/2022 |
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.
