Susan K. Arnold
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 Kaye Arnold, who also goes by Susan K Arnold, Susan Kaye Arnold, Susan K Corrigan ^^^, Susan Werner Glunt ^^^, Susan K Johnson ^^^, Susan Kaye Johnson, Susan K Werner ^^^, Susan Kaye Werner, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2001. Susan had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2015 - May 21, 2015
CETERA INVESTMENT ADVISERS LLC
January 5, 2015 - May 21, 2015
CETERA INVESTMENT SERVICES LLC
March 17, 2014 - January 15, 2015
PRINCIPAL SECURITIES, INC.
March 3, 2014 - January 15, 2015
PRINCIPAL SECURITIES, INC.
July 9, 2012 - March 4, 2014
COSSE' INTERNATIONAL SECURITIES, INC.
September 23, 2011 - July 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2011 - July 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2001 - February 11, 2003
KEYBANC CAPITAL MARKETS INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
