Susan Adam

SA INVESTMENT ADVISORY

SCOTTSDALE, AZ

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CRD#: 7843028

Professional summary

Susan Adam, who also goes by Susan Cook, is a registered financial advisor currently at SA INVESTMENT ADVISORY located in Scottsdale, Arizona.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Susan has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Cook

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.

1) SUSAN ADAM; NON-INVESTMENT RELATED; 1111 OAKFIELD DR., STE 115E-1824, BRANDON, FL 33511; NURSE PRACTITIONER; 06/2022; APPROX. 20-40 HOURS PER MONTH DURING TRADING AND NON-TRADING HOURS; NURSE PRACTITIONER FOR INTERNET BASED TELEHEALTH COMPANY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Adam'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®

None

Experience

Current

May 7, 2024 - Present

SA INVESTMENT ADVISORY

RIA

CRD#: 329454

SCOTTSDALE, AZ

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

Arizona
(5/7/2024)

IAR

Florida
(7/11/2025)

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: 10/7/2023

Uniform Investment Adviser Law Examination

Current Firm

SA INVESTMENT ADVISORY

SA INVESTMENT ADVISORY | SA INVESTMENT ADVISORY LLC

CRD#: 329454 / SEC#:

Arizona

Registered Investment Advisory firm - (5/7/2024 Approved)

Florida

Registered Investment Advisory firm - (7/11/2025 Approved)

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Contact information

Main Address

Brandon, FL

Mailing Address

Phone number

(352) 255-0470

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 Adam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SA INVESTMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 10/7/2023

Current Firm

SA INVESTMENT ADVISORY

Contact information

Documents

Red Flags

Company Information

SA INVESTMENT ADVISORY

TRUST BUT VERIFY

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