Dorothy Susan Fuller
Professional Summary
Dorothy Susan Fuller, who also goes by Dorothy Susan Chlystek, is a registered financial advisor currently at ADVANCED ADVISOR GROUP, LLC located in Cambridge, Minnesota. Dorothy is registered as a RR (Registered Representative) and started their career in finance in 2002. Dorothy has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 6, Series 28, Series 51 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dorothy Susan Chlystek
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
ADVANCED ADVISOR GROUP, LLC | EFS ADVISORS, LLC | EFS ADVISORS
Contact Information
Main Address
1995 East Rum River Drive S., Cambridge, MN 55008Mailing Address
1995 East Rum River Drive S., Cambridge, MN 55008Phone Number
(763) 689-9023Established
Minnesota since 09/29/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
11SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
FINRA licenses (47 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
96AUM (Assets Under Management)
$10,932,672Similar Advisors
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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.
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Primary Firm SEC Registration
ADVANCED ADVISOR GROUP, LLC | EFS ADVISORS, LLC | EFS ADVISORS
State Registrations and Notice Filings
(11/9/2012)
(10/17/2006)
(10/9/2006)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 2002About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Nov 2005About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2005About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Dorothy Susan Fuller's CRS (Customer Relationship Summary).
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