Susan Imel is a registered investment advisor, based in Charlotte, NC, with 20 years of industry experience.
Location
Charlotte, NC
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Susan is a notary public in Mecklenburg County since 2010, providing occasional notary services for no fee. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Truist Investment Services, INC.Broker
March 2019 - Present · 7 yrs 2 mos
Truist Advisory Services, INC.
March 2019 - Present · 7 yrs 2 mos
Truist Investment Services, INC.
March 2019 - Present · 7 yrs 2 mos
Previous Registrations
Bb&t Securities, LLCBroker
December 2019 - February 2021 · 1 yr 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2009 - March 2019 · 10 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2009 - March 2019 · 10 yrs 2 mos
Waddell & Reed, INC.
March 2007 - January 2009 · 1 yr 10 mos
Waddell & Reed, INC.Broker
March 2007 - January 2009 · 1 yr 10 mos
UBS Financial Services INC.
January 2006 - February 2007 · 1 yr 1 mo
UBS Financial Services INC.Broker
January 2006 - February 2007 · 1 yr 1 mo
State Registrations2 states
FLNC
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.