Susan D. Marshall

NAUTICAL STAR FINANCIAL GROUP LLC

Henderson, NV 89014

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CRD#: 5704414

Professional summary

Susan D Marshall, ChFC®, CLU®, who also goes by Susan Denette Marshall-redmond, Susan Denette Pearson, is a registered financial advisor currently at NAUTICAL STAR FINANCIAL GROUP LLC located in Henderson, Nevada.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Susan has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Denette Marshall-Redmond | Susan Denette Pearson

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.

Susan D. Marshall, Insurance Agent, not investment-related. 1489 W. Warm Springs R , Henderson, NV 89014. Owner / Producer / Agent. 40 hours a week. 10/2020 start date. Forward Advisors LLC: investment related; Henderson, NV; IAR; 100 hrs/mth; Start Date 08/2023.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan D Marshall'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

April 9, 2024 - Present

NAUTICAL STAR FINANCIAL GROUP LLC

Office #1: 1489 W Warm Springs Rd Ste 110, Henderson, NV 89014

RIA

CRD#: 316426

Henderson, NV

Past

April 5, 2023 - March 27, 2024

ARETE WEALTH ADVISORS, LLC

RIA

CRD#: 145488

Henderson, NV

Past

January 7, 2022 - June 13, 2023

CENTER STREET ADVISORS, INC.

RIA

CRD#: 169329

Henderson, NV

Past

November 19, 2009 - September 3, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

NEWPORT BEACH, CA

Past

September 10, 2009 - September 3, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NEWPORT BEACH, 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

Nevada
(10/21/2024)

IAR

Texas
(4/9/2024)

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 66

Date: 10/7/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/9/2009

General Securities Representative Examination

Current Firm

NAUTICAL STAR FINANCIAL GROUP LLC

CRD#: 316426 / SEC#:

Idaho

Registered Investment Advisory firm - (6/20/2023 Approved)

Nevada

Registered Investment Advisory firm - (10/17/2024 Approved)

Texas

Registered Investment Advisory firm - (11/19/2021 Approved)

Washington

Registered Investment Advisory firm - (12/17/2021 Approved)

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Contact information

Main Address

511 East John Carpenter Freeway Suite 500, Las Colinas, TX 75062

Mailing Address

Phone number

(800) 385-1804

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	151
AUM (Assets Under Management)	$ 38,515,741

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 D. Marshall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan D Marshall's CRS (Customer Relationship Summary).

Certified licenses

Experience

NAUTICAL STAR FINANCIAL GROUP LLC

ARETE WEALTH ADVISORS, LLC

CENTER STREET ADVISORS, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/7/2009

Series 7

Date: 9/9/2009

Current Firm

NAUTICAL STAR FINANCIAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NAUTICAL STAR FINANCIAL GROUP LLC

TRUST BUT VERIFY

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