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Susan Oberlies

Senior Vice-President, Deputy General Counsel, Corporate Secretary and Head of Risk at Lincoln Investment Planning

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Susan Oberlies is Senior Vice-President, Deputy General Counsel, Corporate Secretary and Head of Risk of Lincoln Investment Planning, LLC, a Fort Washington investment adviser managing $22B. Susan Oberlies has a current broker registration and no current investment-adviser registration and has passed the Series 6, Series 26, Series 63 and SIE.

Role at Lincoln Investment Planning

Title on Schedule A
Senior Vice-President, Deputy General Counsel, Corporate Secretary and Head of Risk
Control
Susan Oberlies is not a control person of Lincoln Investment Planning.
Ownership
An individual ownership band is not available in the source record.
Tenure
Susan Oberlies has held the filed role since April 2026.

The firm

Lincoln Investment Planning, LLC
Fort Washington, PA

Form ADV filed 20 July 2026

$22B AUM138,369 clients874 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 6, Series 26 and Series 63 · 1998

Registrations and exams

Broker registration; no current adviser registration. Susan Oberlies has passed 4 qualifying exams.

Examinations

Series 6316 March 1998
Name
Uniform Securities Agent State Law Examination
Series 269 March 1998
Name
Investment Company Products/Variable Contracts Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 624 February 1998
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Susan Mary Oberlies
CRD
3009149
Firm
Lincoln Investment Planning, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Susan Oberlies work?

Susan Oberlies has been Senior Vice-President, Deputy General Counsel, Corporate Secretary and Head of Risk of Lincoln Investment Planning, LLC since April 2026.

Source: Form ADV, Schedule A, filed 20 July 2026

Does Susan Oberlies have a current investment-adviser registration?

Susan Oberlies has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Susan Oberlies passed?

Susan Oberlies has passed 4 licensing exams: the Series 6, Series 26, Series 63 and SIE. The earliest, the Series 6, was passed in February 1998.

Source: IAPD individual record, checked 17 October 2026

Leadership at Lincoln Investment Planning

Sources

  1. IAPD individual record, CRD 3009149. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Lincoln Investment Planning, LLC, filed 20 July 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Susan Oberlies or Lincoln Investment Planning, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.