Susan WilsonCRD Number: 5602148
Current Firm: Transamerica Financial Advisors, Inc.
Susan Wilson (CRD# 5602148) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Mountain View, CA and has over 8 years of experience in the finance industry.
Three Bell Capital LLC
Prosperity Financial Group, Inc.
Skyoak Wealth Management, Inc.
|Bsi Ehs Services And Solutions||San Jose, CA||Jul 2016 - Current||< 1|
|Transamerica Financial Advisors, Inc.||Mountain View, CA||Jan 2012 - Current||5|
|Debtmerica Relief, LLC||Santa Ana, CA||Jan 2012 - Current||5|
|World Financial Group||Sunnyvale, CA||Jan 2008 - Current||9|
|Environmental And Occupational Risk Management, Inc.||San Jose, CA||Apr 2005 - Current||12|
|Investment Advisors International, Inc.||Sunnyvale, CA||Jun 2011 - Jan 2012||< 1|
|World Group Securities, Inc.||Sunnyvale, CA||Sep 2008 - Jan 2012||3|
|Vacation Rental Cabin||Arnold, CA||Jul 2000 - Jul 2011||11|
|Las Cumbres Conservation Corporation-home Owner Association||Los Gatos, CA||Jul 2008 - May 2010||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2008|
|S65||NASAA Investment Advisors Law Examination||Apr 2011|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management4,493MILLIONS
Total Number of Accounts33,842ACCOUNTS
Average Account Value$132,767
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV