Susan E. Gardiner

SOUTH COUNTY WEALTH PLANNING

Saunderstown, RI

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CRD#: 7215740

Professional summary

Susan E. Gardiner, CFP®, who also goes by Sue E Bernstein, is a registered financial advisor currently at SOUTH COUNTY WEALTH PLANNING located in Saunderstown, Rhode Island.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Susan has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sue E Bernstein

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 Gardiner is contracted out as a financial planner for Origin Financial. There is no relationship that exists between SCWM and Origin Financial; clients will not be referred between Origin Financial and SCWM. This activity accounts for less than 5% of her time during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan E. Gardiner'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: 2021

Experience

Current

January 4, 2023 - Present

SOUTH COUNTY WEALTH PLANNING

RIA

CRD#: 323650

Saunderstown, RI

Past

September 20, 2022 - July 15, 2025

ORIGIN INVESTMENT ADVISORY LLC

RIA

CRD#: 305353

SAUNDERSTOWN, RI

Past

February 26, 2020 - July 19, 2022

FORBES FINANCIAL PLANNING, INC.

RIA

CRD#: 143912

EAST GREENWICH, RI

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

Rhode Island
(1/4/2023)

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 65

Date: 2/26/2020

Uniform Investment Adviser Law Examination

Current Firm

SOUTH COUNTY WEALTH PLANNING

SOUTH COUNTY WEALTH MANAGEMENT | SOUTH COUNTY WEALTH PLANNING

CRD#: 323650 / SEC#:

Rhode Island

Registered Investment Advisory firm - (11/11/2022 Approved)

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Contact information

Main Address

Saunderstown, RI

Mailing Address

Phone number

(401) 360-4151

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 5,461,069

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 E. Gardiner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan E. Gardiner's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTH COUNTY WEALTH PLANNING

ORIGIN INVESTMENT ADVISORY LLC

FORBES FINANCIAL PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/2020

Current Firm

SOUTH COUNTY WEALTH PLANNING

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOUTH COUNTY WEALTH PLANNING

TRUST BUT VERIFY

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