Susan E. Trass

KESTRA ADVISORY SERVICES

Atlanta, GA 30328

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CRD#: 4431852

Professional summary

Susan Ellen Trass, who also goes by Susan E Maloney, Susan E Trass, Susan Ellen Trass, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Atlanta, Georgia and KESTRA INVESTMENT SERVICES, LLC located in Atlanta, Georgia.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Susan has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan E Maloney | Susan E Trass | Susan Ellen Trass

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.

Business Name: ELEMENT WEALTH ADVISORS POSITION: Client Service Specialist NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 128 START DATE: 03/28/2023 ADDRESS: 800 Mount Vernon Highway NE, Suite 350, Atlanat GA 30328, United States DESCRIPTION: trades, money movement, technology, support advisors Business Name: KESTRA ADVISORY SERVICES LLC POSITION: Client Service Specialist NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/28/2023 ADDRESS: 5707 SW Parkway, Bldg. 2 Ste.400, Austin TX 78735, United States DESCRIPTION: Registered assistant responsible for supporting financial planning, asset management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Ellen Trass'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

March 30, 2023 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 800 Mount Vernon Suite 350, Atlanta, GA 30328

RIA

CRD#: 283330

Atlanta, GA

Current

March 28, 2023 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 800 Mount Vernon Highway Ne Suite 350, Atlanta, GA 30328

CRD#: 42046

Atlanta, GA

Past

August 13, 2019 - March 31, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Atlanta, GA

Past

August 12, 2019 - March 31, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Atlanta, GA

Past

June 28, 2018 - August 2, 2019

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

CAMP HILL, PA

Past

June 27, 2018 - August 2, 2019

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

CAMP HILL, PA

Past

April 14, 2017 - April 10, 2018

CHELSEA FINANCIAL SERVICES

CRD#: 47770

STATEN ISLAND, NY

Past

November 27, 2013 - June 25, 2018

FOUNTAINHEAD ADVISORS

RIA

CRD#: 156185

WARREN, NJ

Past

November 21, 2013 - August 10, 2015

SECUREVEST FINANCIAL GROUP

CRD#: 10100

EDISON, NJ

Past

May 21, 2012 - November 18, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

CINCINNATI, OH

Past

February 2, 2011 - December 8, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DULUTH, GA

Past

October 5, 2009 - December 8, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

DULUTH, GA

Past

August 16, 2002 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DULUTH, GA

Past

August 7, 2001 - August 22, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 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

Georgia
(3/28/2023)

IAR

Georgia
(3/30/2023)

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: 12/20/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/21/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/31/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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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Advisor Monitoring

Firm Stability Insights

Susan E. Trass

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Ellen Trass's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

CHELSEA FINANCIAL SERVICES

FOUNTAINHEAD ADVISORS

SECUREVEST FINANCIAL GROUP

MML INVESTORS SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2010

Series 63

Date: 9/10/2001

SIE

Date: 10/1/2018

Series 31

Date: 8/21/2008

Series 7

Date: 7/31/2001

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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