Susan Pokwatka
Susan Pokwatka is a CFP, ChFC-designated registered investment advisor at Founders Financial Alliance, LLC, based in Raleigh, NC, with 31 years of industry experience. Susan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 3,918 clients with $1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fees are negotiable up to 2%.
Fee Estimator
Location
9212 Falls of Neuse Rd., Suite 221, Raleigh, NC, 27615
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2019Other Business ActivitiesSells Insurance
Susan sells non-variable insurance through Underwriters Brokerage Services, dedicating about 10-20% of her time. She also provides investment advisory services through Founders Financial Alliance, LLC and operates DeFranco Financial as a DBA for her LPL business, dedicating full-time hours to these activities. Susan also has SP Financial Consulting LLC for tax/investment purposes, spending about a quarter of her time on it.
Employment History
Current Registrations
Founders Financial Alliance, LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Financial Network Investment Corporation
Financial Network Investment CorporationBroker
Blue Vase Securities, LLC
Blue Vase Securities, LLCBroker
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.