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SH

Susan S. Harvell

THE FIDUCIARY ALLIANCE
GREENVILLE, SC 29601
Some features on this profile are disabled
CRD#: 4442833
SH

Professional summary

Susan S Harvell, who also goes by Susan Michelle Sanders, is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in Greenville, South Carolina.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Susan has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Susan Michelle Sanders

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan S Harvell'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

September 10, 2020 - Present

THE FIDUCIARY ALLIANCE

Office #1: 135 S Main St Suite 600, Greenville, SC 29601
RIA
CRD#: 284924
GREENVILLE, SC
Past

May 16, 2019 - August 24, 2020

FOSTER VICTOR

RIA
CRD#: 283656
GREENVILLE, SC
Past

June 15, 2002 - March 10, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 18, 2001 - June 15, 2002

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC

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".
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES

CRD#: 284924 / SEC#: 801-108283

RIA
Registered Investment Advisory firm - (8/17/2016 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.

Highlighted states indicate IAR registrations

IAR
South Carolina
(9/10/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/16/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/19/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 10/17/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES

CRD#: 284924 / SEC#: 801-108283

RIA
Registered Investment Advisory firm - (8/17/2016 Approved)
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Contact information

Main Address
135 S Main St Suite 600, Greenville, SC 29601
Mailing Address
Phone number
(864) 385-7999
Established
Firm type
Fiscal year end
# of Employees
63

SEC notice filing (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TFA ADV 2A (5/23/2025)

Regulatory assets under management

Total Number of Accounts6,842
AUM (Assets Under Management)$ 1,921,956,974

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.

Company Information

THE FIDUCIARY ALLIANCE

CRD#: 284924Greenville, SC 29601

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