Susanne Cullen

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CRD#: 7538063

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Susanne Cullen was a registered financial professional .

Susanne is a previously registered financial professional and started their career in finance in 2022. Susanne had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

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.

Coldwell Banker, Non-investment Related, 11280 Corbin Ave, Porter Ranch, CA 91326, Real Estate, Realtor, began 06/2019 to Present, 40 hours per week, Assist individuals in buying and selling homes. Fixed Insurance Agent CA Lic # 0F20051, Investment Related, 13008 Williams Ranch Rd, Moorpark, CA 93021, Insurance Agent, began 05/2006 to Present,10 hours per week, Assist individuals in obtaining fixed insurance products.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 26, 2022 - December 2, 2024

KELSEY FINANCIAL, LLC

RIA

CRD#: 314950

Moorpark, CA

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".

KELSEY FINANCIAL, LLC

CRD#: 314950 / SEC#: 801-129004

RIA

Registered Investment Advisory firm - (1/30/2024 Approved)

California

Registered Investment Advisory firm - (6/25/2021 Approved)

Nevada

Registered Investment Advisory firm - (3/28/2023 Approved)

Oregon

Registered Investment Advisory firm - (1/28/2022 Approved)

Texas

Registered Investment Advisory firm - (9/9/2021 Conditional Restricted)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

KELSEY FINANCIAL, LLC

CRD#: 314950 / SEC#: 801-129004

RIA

Registered Investment Advisory firm - (1/30/2024 Approved)

California

Registered Investment Advisory firm - (6/25/2021 Approved)

Nevada

Registered Investment Advisory firm - (3/28/2023 Approved)

Oregon

Registered Investment Advisory firm - (1/28/2022 Approved)

Texas

Registered Investment Advisory firm - (9/9/2021 Conditional Restricted)

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Contact information

Main Address

485 E. High Street, Moorpark, CA 93021

Mailing Address

Phone number

(833) 453-5739

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KELSEY FINANCIAL ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	263
AUM (Assets Under Management)	$ 149,798,910

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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Susanne Cullen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KELSEY FINANCIAL, LLC

Primary Firm SEC Registration

KELSEY FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Current Firm

KELSEY FINANCIAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KELSEY FINANCIAL, LLC

TRUST BUT VERIFY

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