Susan Jean Sturm-Bailey
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Susan Jean Sturm-Bailey is an investment adviser representative with LPL Financial LLC in Bettendorf, IA, where they have been registered since 2025. They have worked in the securities industry since 2006 and have been registered with 5 firms, including MWA Financial Services, Inc. and Cambridge Investment Research Advisors, Inc. They have passed 10 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California, Iowa, and Texas.
Registrations & licenses
- Investment adviser:
- California, Iowa, Texas
- Broker:
53 states and territories
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- H. BECK, Inc.Aug 2015 – Oct 2018Bethesda, MD
- Bettendorf Financial GroupOct 2018 – Jan 2019Bettendorf, IA
- Cambridge Investment Research, Inc.Jan 2019 – Oct 2020Fairfield, IA
- Cambridge Investment Research Advisors, Inc.Jan 2019 – Oct 2020Fairfield, IA
- Modern Woodmen of AmericaFeb 2021 – Nov 2025Rock Island, IL
- MWA Financial Services IncFeb 2021 – Nov 2025Rock Island, IL
- UnemployedOct 2020 – Feb 2021Bettendorf, IA
- LPL Financial LLCNov 2025 – no end date reportedSan Diego, CA
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Susan Jean Sturm-Bailey has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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