Susan Rene Sommer

Current Employers

Employment History

• 04/2015 → 12/2021
  Beam Asset Management
  St. Peters, MO
• 07/2015 → 06/2024
  Securities America, Inc.
  St. Peters, MO
• 12/2021 → 08/2022
  Pfg Advisors, Llc
  St. Peters, MO
• 08/2022 → Present
  Universal Financial Advisors, Llc
  St. Peters, MO
• 06/2024 → Present
  Osaic Wealth, Inc.
  St. Peters, MO

Previous Registrations

• 2022-01-03 → 2022-08-16
  Pfg Advisors
  St. Peters, MO
• 2015-04-20 → 2021-12-15
  Beam Wealth Advisors, Inc.
  St. Peters, MO
• 2009-09-08 → 2015-07-21
  Lpl Financial Llc
  St. Peters, MO
• 2004-02-17 → 2009-09-08
  Mutual Service Corporation
  Boston, MA
  St.CHarles, MO
• 1999-09-14 → 2004-07-30
  Sommer Investments, L.L.C.
  St. Charles, MO

Other Businesses

1. SOMMER INVESTMENTS LLC INVESTMENT RELATED; ST. PETERS; MO; INSURANCE; AGENT; 12/1994; 4 hrs./mo.; 4 hrs./mo. during securities trading hours; Duties are insurance sales. 2. SOMMER ENTERPRISES LLC POSITION: Member NATURE: Landlord INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/21/2013 ADDRESS: P.O. Box 1132, St. Peters MO 63376, United States DESCRIPTION: Own the building. Lease & maintain building. 3. THE ADVISOR AUTHORITY POSITION: student NATURE: Training INVESTMENT RELATED: No NUMBER OF HOURS: 9 SECURITIES TRADING HOURS: 1 START DATE: 07/28/2021 ADDRESS: 513 Creekside Dr, McKinney TX 75071 DESCRIPTION: Student 4. UNIVERSAL FINANCIAL ADVISORS LLC POSITION: RIA Representative NATURE: Universal Financial Advisors, LLC --Investment Advisor Representative--Investment related INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 70 START DATE: 08/01/2022 ADDRESS: 333 S Kirkwood Rd, Suite 301, St Louis MO 63122, United States DESCRIPTION: Provide Advisory and investment services 5. SUSAN SOMMER POSITION: member NATURE: Women's Networking Group INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 10/01/2020 ADDRESS: 1395 TRIAD CENTER DR, STE 4, Saint Peters MO 63376 DESCRIPTION: A group of women, from different broker dealers, meet regularly to collaborate on marketing ideas to grow our individual business practices 6. SOMMER INVESTMENTS LLC POSITION: Representative NATURE: Insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/10/1992 ADDRESS: 1395 Triad Center Dr, Suite 4, St. Peters MO 63376, United States DESCRIPTION: Sell life insurance and annuities, disability and long term care 7. TRUSTEE POSITION: Trustee NATURE: My sister would like me/Anna to be her successor trustee for her (And I would imagine my brother-in-law as they usually do the same thing. The attorney only referenced my sister). Under Outside Business Activity, it says it is allowed with permission. I would like permission I have handled their brokerage and annuity accounts and they are very happy. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/29/2026 ADDRESS: 1395 Triad Center Drive, Suite 4, Saint Peters MO 63376-7397, United States DESCRIPTION: My sister (brother-in-law) would like for me to handle their financial accounts if a successor trustee is needed. I already handle their investment accounts so I am familiar with their accounts. I am not aware of any compensation.

Exams

• S63 Uniform Securities Agent State Law Examination
  1992-01-13

Designations

Other Names

• Susan R Sommer
• Susan Rene Effinger