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Susan Lynn Arnold

Roffman Miller Associates Inc

Philadelphia, PA

CRD 2775169

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Employer firm

Roffman Miller Associates Inc CRD 106019

$3.20B regulatory AUM 5 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Educational seminars

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

Current Employers
Roffman Miller Associates Inc

1835 Market Street Suite 500, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2008-08-15
  • PA RA
    APPROVED
    Since 2008-08-15

Branch Locations

1835 Market Street Suite 500, Philadelphia, PA 19103 • 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
OrganizationCityStateFromTo
Roffman Miller Associates, Inc. Philadelphia PA 08/2008 Present
Previous Registrations
  • 2006-10-03 → 2008-08-12
    Td Ameritrade, Inc.
    Radnor, PA
  • 2006-10-03 → 2008-08-12
    Td Ameritrade Investment Management, Llc
    King Of Prussia, PA
    Radnor, PA
  • 2005-07-15 → 2006-11-06
    Roffman Miller Associates Inc
    Philadelphia, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-14
S63 Uniform Securities Agent State Law Examination 1996-09-03
  • S65 Uniform Investment Adviser Law Examination
    2005-07-14
  • S63 Uniform Securities Agent State Law Examination
    1996-09-03
Other Names
  • Susan Lynn Loforte

View on SEC IAPD

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