Susan Mims has been an investment adviser representative at Strategic Asset Management since October 2020, and is not listed among the firm’s executive officers or direct owners.
Strategic Asset Management LLC. is a Rochester, MN firm with $218M under management, 231 clients and 10 advisers across 5 offices, as of its September 2026 filing.
Susan Mims’ longest registration was 10 years at Rda Financial Network (2010–2020). Before joining Strategic Asset Management in 2020, Susan Mims was registered through Rda Financial Network.
- – present · 6 yearsIowa City, IA · Adviser representative · Firm CRD 306384
- Rda Financial Network– · 10 yearsCoralville, IA · Adviser representative · Firm CRD 147309
Investment adviser representative registrations
Susan Mims is registered as an investment adviser representative in Iowa, since October 2020.
- IowaSince 5 October 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 5 July 2000 |
| Series 7 | General Securities Representative Examination | 21 June 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Susan Marshall Mims
- CRD
- 4202677
- Firm
- Strategic Asset Management · CRD 306384
- Office
- Iowa City, IA
- Registration
- Investment adviser registration
- In the industry since
- June 2000
- Disciplinary history
- Not yet shown here · SEC record
Where does Susan Mims work?
Susan Mims is an investment adviser representative registered through Strategic Asset Management LLC. since October 2020, and is not listed among the firm’s executive officers or direct owners.
Is Susan Mims a financial advisor?
Yes. Susan Mims has a current investment-adviser registration in Iowa, through Strategic Asset Management since October 2020.
How many years of experience does Susan Mims have?
Susan Mims has 26 years in the financial industry, since June 2000, across 2 adviser firms.
What exams has Susan Mims passed?
Susan Mims has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in June 2000. FINRA credited Susan Mims with the SIE, which began in October 2018.
Where did Susan Mims work before Strategic Asset Management?
Before Strategic Asset Management, Susan Mims was registered through Rda Financial Network, September 2010 to October 2020.
Where is Susan Mims based?
Susan Mims’ registered office is in Iowa City, IA.
Is Susan Mims registered with FINRA?
No. Susan Mims has no current broker registration.
How can I verify Susan Mims’ record?
Search CRD 4202677 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Susan Mims’ full registration record.