Susan J. Talbott

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CRD#: 4868756

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 Jane Talbott, ChFC®, who also goes by Susan Talbott Tacheny, Susan Talbott, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 2004. Susan had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Susan Talbott Tacheny | Susan Talbott

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.

1.) PINNACLE ACHIEVEMENT GROUP LLC - PRESIDENT - BUSINESS ENTITY TO FACILITATE STAFF PAYROLL, BUSINESS EXPENSES, BANKING, ETC. - TEMPE, AZ - SINCE 01/2007 - NOT INVESTMENT RELATED 2.) KNOWLEDGETRAX LLC - CHIEF FINANCIAL OFFICER - BUSINESS CONSULTING SERVICES - PHOENIX, AZ - SINCE 02/2000 - NOT INVESTMENT RELATED 3.) SEROS FINANCIAL LLC - INVESTMENT ADVISOR REPRESENTATIVE - REGISTERED INVESTMENT ADVISOR - TEMPE, AZ - SINCE 08/2017 - INVESTMENT RELATED 4.) PINNACLE FINANCIAL ADVISORS - PRESIDENT - DBA NAME FOR MARKETING PURPOSES ONLY - TEMPE, AZ - SINCE 02/2015 - INVESTMENT RELATED 5.) SUSAN TALBOTT - INSURANCE AGENT - NON-VARIABLE INSURANCE - TEMPE,AZ - SINCE 02/2015 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

Experience

Past

August 1, 2017 - July 19, 2022

SEROS FINANCIAL, LLC

RIA

CRD#: 166808

Tempe, AZ

Past

February 5, 2015 - November 20, 2017

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

TEMPE, AZ

Past

February 5, 2015 - July 27, 2022

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

TEMPE, AZ

Past

December 14, 2007 - February 17, 2015

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

TEMPE, AZ

Past

July 24, 2006 - December 20, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MESA, AZ

Past

October 25, 2004 - December 20, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MESA, AZ

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".

SEROS FINANCIAL, LLC

CRD#: 166808 / SEC#: 801-120609

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

Arizona

Registered Investment Advisory firm - (4/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/15/2021 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 8/17/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/16/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/22/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SEROS FINANCIAL, LLC

CRD#: 166808 / SEC#: 801-120609

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

Arizona

Registered Investment Advisory firm - (4/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/15/2021 Terminated)

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Contact information

Main Address

2141 East Broadway Rd. Suite 220, Tempe, AZ 85282

Mailing Address

Phone number

(480) 967-1155

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A SEROS FINANCIAL, LLC (11/11/2025)

Regulatory assets under management

Total Number of Accounts	990
AUM (Assets Under Management)	$ 301,058,504

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 J. Talbott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

MSI FINANCIAL SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

SEROS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2005

Series 63

Date: 11/16/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/5/2005

Series 6

Date: 10/22/2004

Current Firm

SEROS FINANCIAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEROS FINANCIAL, LLC

TRUST BUT VERIFY

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