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Susan Lynn Arnold

Investment Adviser Representative at ROFFMAN MILLER ASSOCIATES INC

Philadelphia, PACRD #2775169Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
1 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Susan Lynn Arnold has worked in the securities industry since 2005. They have passed the Series 65, 63, 52, 10, 9, and 7 examinations. They are registered to provide investment advisory services in Pennsylvania.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Pennsylvania
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 7/14/2005
Series 63
Uniform Securities Agent State Law Examination
Passed 9/3/1996
Series 7
General Securities Representative Examination
Passed 12/4/1996
Series 52
Municipal Securities Representative Examination
Passed 8/27/1996
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 6/20/2000
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 5/15/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Equities & Structured Products - First $2M1.00%
Equities & Structured Products - Next $5M0.75%
Equities & Structured Products - Thereafter0.00%
Fixed Income - First $5M0.50%
Fixed Income - Thereafter0.00%
Mutual Funds - First $5M0.75%
Mutual Funds - Thereafter0.00%
Account minimum: $1,000,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Roffman Miller Associates Inc Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ROFFMAN MILLER ASSOCIATES INCCurrent
8/15/2008Philadelphia, PA
AMERIVEST INVESTMENT MANAGEMENT, LLC
10/3/20068/12/2008Radnor, PA
TD AMERITRADE, INC.
10/3/20068/12/2008Randor, PA
ROFFMAN MILLER ASSOCIATES INC
7/15/200511/6/2006Philadelphia, PA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

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 Lynn Arnold 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.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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