Susan K Radley

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2018-11-01

AZ RA
APPROVED

Since 2018-11-01

Branch Locations

Gilbert, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Financial Specialists Llc	Schaumburg	IL	06/2004	Present
Cetera Investment Adviser Llc	Schaumburg	IL	07/2006	Present

06/2004 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
07/2006 → Present

Cetera Investment Adviser Llc

Schaumburg, IL

Other Businesses

1)INSURANCE-AGENT SINCE 95-WRITE FIRMS MEDICAL & DENTAL THRU LISI, A GENERAL AGENCY-30HR/WK.; 2) SELLS HEALTH INSURANCE; 3) HEALTH INSURANCE REFERRALS, NOT INV REL, REFER CORP CLIENTS TO AN AGENT FOR GROUP HEALTH INSURANCE AND RECEIVE REFERRAL FEES, SINCE 08/2007

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-09-23
S63	Uniform Securities Agent State Law Examination	2000-10-04

S65 Uniform Investment Adviser Law Examination

2006-09-23
S63 Uniform Securities Agent State Law Examination

2000-10-04

Other Names

Susan Phillips

View on SEC IAPD