Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SUSAN MARGARET CHEVALIER
SUSAN MARGARET CHARLES, Susan M Chevalier
CRD#: 4662882
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 35 NORTH LAKE AVENUE
SUITE 800
PASADENA, CA 91101
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2020 - 2024 (3 years)2 FIRMS2024 - Present (1 year)BBLACKROCK INVESTMENTS, LLC (CRD# 38642)2016 - 2019 (2 years)BBOFA DISTRIBUTORS, INC. (CRD# 30683)2005 - 2016 (10 years)BBACAP DISTRIBUTORS, LLC (CRD# 46088)2003 - 2005 (2 years)
License(s)

State Registrations

B
California 1/29/2024
IA
California 1/29/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Rancho Cucamonga, CA
Registered with this firm since 1/29/2024
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Rancho Cucamonga, CA
Registered with this firm since 1/29/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/25/2020 - 01/18/2024 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) RANCHO CUCAMONGA, CA
B
 06/26/2020 - 01/16/2024 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) RANCHO CUCAMONGA, CA
B
 05/10/2016 - 01/15/2019 BLACKROCK INVESTMENTS, LLC (CRD#:38642) SAN FRANCISCO, CA
B
 08/20/2005 - 04/19/2016 BOFA DISTRIBUTORS, INC. (CRD#:30683) LOS ANGELES, CA
B
 07/30/2003 - 08/20/2005 BACAP DISTRIBUTORS, LLC (CRD#:46088) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.