Susan Dawson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 03/2017 → 06/2017
  Fidelity Brokerage Services Llc
  Overland Park, KS
• 07/2017 → 01/2018
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Lees Summit, MO
• 02/2018 → 04/2019
  Edward Jones
  St Louis, MO
• 10/2019 → 01/2020
  The Prudential Insurance Company Of America
  Overland Park, KS
• 10/2019 → 01/2020
  Pruco Securities Llc
  Overland Park, KS
• 02/2016 → 02/2017
  Unemployed
  Kansas City, MO
• 04/2019 → 09/2019
  Unemployed
  Kansas City, MO
• 01/2020 → 03/2021
  Planmember Securities Corporation
  Carpinteria, CA
• 06/2020 → 01/2021
  Spring Venture Group
  Kansas City, MO
• 03/2021 → 08/2021
  Farmer's Insurance
  North Kansas City, MO
• 04/2021 → 08/2025
  Triumph Financial Advisors, Llc
  North Kansas, MO
• 02/2023 → 12/2023
  Fortune Financial Services
  Monaca, PA
• 08/2025 → Present
  Lpl Financial Llc
  Kansas City, MO
• 08/2025 → Present
  Commerce Bank
  Kansas City, MO

Previous Registrations

• 2021-05-03 → 2025-12-31
  Triumph Financial Advisors, Llc
  North Kansas City, MO
• 2020-01-21 → 2021-03-01
  Planmember Securities Corporation
  North Kansas City, MO
  North Kansas City, MO
  Carpinteria, CA
• 2019-10-28 → 2020-01-21
  Pruco Securities, Llc.
  Overland Park, KS
  St. Louis, MO
• 2018-02-02 → 2019-04-23
  Edward Jones
  Atchison, KS
  Gladstone, MO
• 2017-07-20 → 2018-01-19
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Liberty, MO
  Lees Summit, MO
  Overland Park, KS

Other Businesses

1- 08/2025 / Commerce Financial Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)

Exams

• S66 Uniform Combined State Law Examination
  2017-07-19
• S63 Uniform Securities Agent State Law Examination
  2005-12-20

Other Names

• Susan A Dawson
• Susan Dawson
• Susan Ann Dawson