TrueAdvisor
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SP
CFP · ChFC
SP
CFP · ChFC

Susan Pokwatka

Founders Financial Alliance, LLC
32 Years of Experience
Wheeling, WV
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Susan Pokwatka is a CFP, ChFC-designated registered investment advisor at Founders Financial Alliance, LLC, based in Wheeling, WV, with 32 years of industry experience. Susan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 2,412 clients with $1.2B in assets under management.

Founders Financial Alliance, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
30 advisors
Number of Clients
2,412 clients
Average Client Portfolio
$492K average
Assets Under Management
$1.2B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual fee is up to 2.0% of assets under management. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1320 National Rd., Wheeling, WV, 26003

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2019
Settled
View Full SEC ReportHow to Read Disclosures
Other 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
April 2017 - Present · 9 yrs 6 mos
LPL Financial LLCBroker
November 2006 - Present · 19 yrs 11 mos
Previous Registrations
LPL Financial LLC
November 2006 - July 2017 · 10 yrs 8 mos
Financial Network Investment Corporation
October 2005 - November 2006 · 1 yr 1 mo
Financial Network Investment CorporationBroker
October 2005 - November 2006 · 1 yr 1 mo
Blue Vase Securities, LLC
June 2003 - October 2005 · 2 yrs 4 mos
Blue Vase Securities, LLCBroker
May 2003 - October 2005 · 2 yrs 5 mos
Prudential Securities Incorporated
May 2002 - April 2003 · 11 mos
Prudential Securities IncorporatedBroker
May 1994 - April 2003 · 8 yrs 11 mos
State Registrations5 states
MONCOHSCWV
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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