Susan R. Somers

CAPITAL CITIES

Indianapolis, IN 46202-3602

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CRD#: 4735597

Professional summary

Susan R. Somers is a registered financial advisor currently at CAPITAL CITIES, LLC located in Indianapolis, Indiana.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Susan has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 R. Somers'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 7, 2024 - Present

CAPITAL CITIES, LLC

Office #1: 426 East New York Street, Indianapolis, IN 46202-3602

RIA

CRD#: 122916

Indianapolis, IN

Past

February 2, 2021 - February 8, 2024

CAPITAL CITIES, LLC

RIA

CRD#: 122916

INDIANAPOLIS, IN

Past

January 1, 2006 - March 13, 2024

CAPITAL CITIES INVESTMENTS

RIA

CRD#: 116185

INDIANAPOLIS, IN

Past

June 21, 2005 - January 20, 2021

TRIAD ADVISORS LLC

CRD#: 25803

Indianapolis, IN

Past

January 15, 2004 - May 25, 2005

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

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".

CAPITAL CITIES, LLC

CAPITAL CITIES, L.L.C. | CAPITAL CITIES, LLC

CRD#: 122916 / SEC#: 801-69270

RIA

Registered Investment Advisory firm - (6/17/2008 Approved)

Indiana

Registered Investment Advisory firm - (7/3/2008 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

Indiana
(3/7/2024)

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 65

Date: 11/17/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/11/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/14/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL CITIES, LLC

CAPITAL CITIES, L.L.C. | CAPITAL CITIES, LLC

CRD#: 122916 / SEC#: 801-69270

RIA

Registered Investment Advisory firm - (6/17/2008 Approved)

Indiana

Registered Investment Advisory firm - (7/3/2008 Terminated)

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Contact information

Main Address

426 East New York Street, Indianapolis, IN 46202-3602

Mailing Address

Phone number

(317) 475-4500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL CITIES, L.L.C. ADV BROCHURE (3/6/2025)

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 R. Somers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan R. Somers's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL CITIES, LLC

CAPITAL CITIES INVESTMENTS

TRIAD ADVISORS LLC

MUTUAL SERVICE CORPORATION

Primary Firm SEC Registration

CAPITAL CITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2004

Series 63

Date: 2/11/2004

SIE

Date: 10/1/2018

Series 6

Date: 1/14/2004

Current Firm

CAPITAL CITIES, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

CAPITAL CITIES, LLC

TRUST BUT VERIFY

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