Susan Ann Phillips
Professional Summary
Susan Ann Phillips, who also goes by Susan Ann Schmit, was a registered financial advisor. Susan was a previously registered financial professional and started their career in finance 2014 - 2016. Susan had worked at 1 firm and has passed the Series 11 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Susan Ann Schmit
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
12 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST NEBRASKA INVESTORS, INC. | WARNER GROUP, INC. | WARNER GROUP, INC | THE WARNER GROUP, INC. | FSB WARNER FINANCIAL, INC. | FSB WARNER FINANCIAL, INC | FSB PREMIER WEALTH MANAGEMENT, INC.
Contact Information
Main Address
131 Tower Park Drive Suite 115, Waterloo, IA 50701Mailing Address
131 Tower Park Drive Suite 115, Waterloo, IA 50701Phone Number
(319) 235-6561Established
Nebraska since 05/08/1992Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
12SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
FINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
2,130AUM (Assets Under Management)
$431,742,786Disclosures
Regulatory Event
1Similar Advisors
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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.
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Primary Firm SEC Registration
FIRST NEBRASKA INVESTORS, INC. | WARNER GROUP, INC. | WARNER GROUP, INC | THE WARNER GROUP, INC. | FSB WARNER FINANCIAL, INC. | FSB WARNER FINANCIAL, INC | FSB PREMIER WEALTH MANAGEMENT, INC.
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 11 — Assistant Representative-Order Processing Qualification Exam
Passed Nov 2014Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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