Susan M. Van Tress

LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C.

Yakima, WA 98902

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CRD#: 4304938

Professional summary

Susan Marie Van Tress, who also goes by Susan M Chisim, Susan M Chism, Susan M Van Tress, is a registered financial advisor currently at LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C. located in Yakima, Washington.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Susan has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan M Chisim | Susan M Chism | Susan M Van Tress

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) 11/24/2004: LEONARD RICKEY INVESTMENT ADVISORS, PLLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL (2) 08/09/2013: NO BUSINESS NAME - NOT INV REL - NOTARY - 1% OF TIME SPENT - NOTARIZE DOCUMENTS FOR CLIENTS (3) 03/03/2015: LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C. - INV REL - 3908 CREEKSIDE LOOP STE 100 YAKIMA, WA 98902 - REGISTERED INVESTMENT ADVISOR HYBRID - START 01/13/2015 - 160 HR/MO 100 DURING SECS TRDG HRS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Marie Van Tress'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®

None

Experience

Current

January 13, 2015 - Present

LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C.

Office #1: 3908 Creekside Loop Suite 100, Yakima, WA 98902

RIA

CRD#: 116891

Yakima, WA

Past

March 28, 2005 - July 24, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

RICHLAND, WA

Past

January 17, 2005 - April 18, 2016

LPL FINANCIAL LLC

CRD#: 6413

RICHLAND, WA

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".

LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C.

CRD#: 116891 / SEC#: 801-77834

RIA

Registered Investment Advisory firm - (4/8/2013 Approved)

Washington

Registered Investment Advisory firm - (4/18/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Washington
(1/13/2015)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/24/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/2005

General Securities Representative Examination

Current Firm

LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C.

CRD#: 116891 / SEC#: 801-77834

RIA

Registered Investment Advisory firm - (4/8/2013 Approved)

Washington

Registered Investment Advisory firm - (4/18/2013 Terminated)

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Contact information

Main Address

3908 Creekside Loop Suite 100, Yakima, WA 98902

Mailing Address

Phone number

(509) 972-3686

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (10/28/2025)

Regulatory assets under management

Total Number of Accounts	3,055
AUM (Assets Under Management)	$ 823,758,596

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/25/2025	Cover Page	Report

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.

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Susan M. Van Tress

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Marie Van Tress's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2005

SIE

Date: 4/18/2016

Series 7

Date: 1/13/2005

Current Firm

LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C.

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C.

TRUST BUT VERIFY

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