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Susan L. Imel

TRUIST ADVISORY SERVICES
CHARLOTTE, NC
Some features on this profile are disabled
CRD#: 4959458
SI

Professional summary

Susan Lynn Imel, who also goes by Susan L Imel, Susan Lynn Imel, Susan Imel, Susan Lynn Miller, Susan Lynn Miller-imel, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Charlotte, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Richmond, Virginia.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Susan has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Susan L Imel | Susan Lynn Imel | Susan Imel | Susan Lynn Miller | Susan Lynn Miller-Imel

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.
MECKLANBURG COUNTY NOTARY PUBLIC POSITION: Notary Public NATURE: notary public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/22/2010 ADDRESS: , Charlotte NC , United States DESCRIPTION: occasional notary for no fee

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Lynn Imel'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 25, 2019 - Present

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
CHARLOTTE, NC
Current

March 25, 2019 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 1001 Semmes Ave Fl 1 3, 4 & 6, Richmond, VA, 23224
BD
CRD#: 17499
RICHMOND, VA
Past

December 10, 2019 - February 17, 2021

BB&T SECURITIES, LLC

BD
CRD#: 142785
CHARLOTTE, NC
Past

January 12, 2009 - March 19, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ORLANDO, FL
Past

January 5, 2009 - March 19, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ORLANDO, FL
Past

March 2, 2007 - January 8, 2009

WADDELL & REED

RIA
CRD#: 866
COLUMBIA, SC
Past

March 2, 2007 - January 8, 2009

WADDELL & REED

BD
CRD#: 866
COLUMBIA, SC
Past

January 31, 2006 - February 16, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
COLUMBIA, SC
Past

January 1, 2006 - February 16, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
COLUMBIA, SC

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".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA
Registered Investment Advisory firm - (5/18/2016 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.
RR
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

RR
Florida
(3/25/2019)
RR
North Carolina
(3/25/2019)
IAR
North Carolina
(3/25/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/30/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/29/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/20/2024
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/8/2019
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/24/2016
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/19/2016
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA
Registered Investment Advisory firm - (5/18/2016 Approved)
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Contact information

Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469

SEC notice filing (52 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

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)
TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts124,363
AUM (Assets Under Management)$ 67,736,740,585

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/24/2025
Cover Page
Report
03/28/2024
Cover Page
Report
04/26/2023
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.

Company Information

TRUIST ADVISORY SERVICES, INC.

CRD#: 283390Charlotte, NC

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