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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Susan Kristine Soesbe

Susan K. Soesbe

SOESBE FINANCIAL
SACRAMENTO, CA 95819
Some features on this profile are disabled
CRD#: 5014944
Susan Kristine Soesbe

Professional summary

Susan Kristine Soesbe, CFP® is a registered financial advisor currently at SOESBE FINANCIAL located in Sacramento, California.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Susan has worked at 2 firms and has passed the Series 65 exam.

Core Areas of Focus

Fixed Fee (Subscription
Retainer
etc.)
Investment Advice with Ongoing Management
LGBT Couples and Families
Retirement Plan Investment Advice
Tax Planning
Women's Financial Planning Issues

Question & Answer

What are your service offerings?
Comprehensive Financial Planni...
Tax Planning
Retirement Planning
Life Transitions
Investment Planning
Employee and Employer Plan Ben...
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 Kristine Soesbe's 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®
CFP®

Certified Financial Planner

Start date: 2008

Experience

Current

March 2, 2020 - Present

SOESBE FINANCIAL

Office #1: 5290 Elvas Ave, Sacramento, CA 95819
RIA
CRD#: 307384
SACRAMENTO, CA
Past

July 16, 2007 - February 5, 2020

SYMPHONY FINANCIAL PLANNING LLC

RIA
CRD#: 137885
DAVIS, CA

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
California
(3/2/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/13/2007
Uniform Investment Adviser Law Examination

Current Firm

SOESBE FINANCIAL
SOESBE FINANCIAL
SOESBE FINANCIAL | SOESBE FINANCIAL LLC

CRD#: 307384 / SEC#:

California
Registered Investment Advisory firm - (2/28/2020 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
5290 Elvas Ave, Sacramento, CA 95819
Mailing Address
Phone number
(916) 587-5100
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts127
AUM (Assets Under Management)$ 66,899,789

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

SOESBE FINANCIAL

SOESBE FINANCIAL

CRD#: 307384Sacramento, CA 95819

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Contact information

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