Susan Wooldridge Yeatts

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2013 → Present
  Cetera Wealth Services, Llc
  Lexington, SC
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/2019 → Present
  American Asia Tax Co, Ltd
  Bangkok

Previous Registrations

• 2004-10-27 → 2013-09-03
  Walnut Street Securities, Inc.
  Lexington, SC
• 2006-03-02 → 2008-12-31
  Carolina Wealth Management, Llc
  Columbia, SC
  Lexington, SC
• 2000-06-09 → 2005-05-25
  Walnut Street Advisers Inc
  Columbia, SC

Other Businesses

1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 05/2010, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, AND FIXED ANNUITIES; 2) NAME OF OTHER BUSINESS: AMERICAN ASIA TAX CO, LTD, INVESTMENT RELATED: NO, ADDRESS: CP TOWER 3, LEVEL 4, ROOM 418 CSO, 34 PHAYA THAI ROAD, THUNG PHAYA THAI RATCHATEWEE, BANGKOK, 1040, THAILAND, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 01/2019, POSITION/TITLE/RELATIONSHIP: ENROLLED AGENT, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION AND ADVICE; 3 )ENROLLED AGENT, TAX PREPARER 4HRS/WEEKDAYS 15HRS/EVENING&WEEKEND SINCE 5/2007 4) COMMUNITY TAX LEAD, (SEASONAL) SUPPORT POSITION WITH INTUIT, INC. WORKING FROM BUSINESS & PRIVATE ADDRESS 10 HRS/WK DURING SECURITIES TRADING & 25 HRS/WKND & EVENINGS SINCE 11/2023; 5) NAME OF OTHER BUSINESS: SUSAN YEATTS AND CO INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2019 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 6) NAME OF OTHER BUSINESS: AA TAX LLC; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TAX PREPARATION ; START DATE: 8/2022 ; POSITION/TITLE/RELATIONSHIP: OWNER/ ENROLLED AGENT/TAX PREPARER ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: PREPARE TAX RETURNS FOR CLIENTS, TRACK ASSOCIATED EXPENSES; 7) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: REAL ESTATE, START DATE:10/2023, POSITION/TITLE/RELATIONSHIP: PART OWNER, LESS THAN ONE HOUR PER WEEK, BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY OWNED WITH BROTHER; 8) NAME OF OTHER BUSINESS: SUSAN W YEATTS CFP CHFC EA, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 09/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 3, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF BUSINESS EXPENSES; 9) NAME OF OTHER BUSINESS: SUSAN YEATTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS:; START DATE: 02/2025; POSITION/TITLE/RELATIONSHIP: COMPLIANCE CONSULTANT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: CONSULTING ON COMPLIANCE CONTROLS, SYSTEMS AND REGULATORY OBLIGATIONS;

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-05-11
• S63 Uniform Securities Agent State Law Examination
  2000-02-16

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Susan Jean Wooldridge