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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Susan Jean Sturm-Bailey

Advisor at LPL FINANCIAL LLC

BETTENDORF, IA

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Search this name across graphsid dfx:ria:fffb2e75-e750-7093-18b9-079de34f60b2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 21, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 2, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Jun 2, 2006
First registration: Mar 21, 2014
Dual registered: yes, broker-dealer
Other names: Susan Jean Sturm|Susan Gonzalez|SUSAN JEAN GONZALEZ
IAPD individual key: 4974922

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 24, 2025	n/a	yes	BETTENDORF, IA	Current employment
MWA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Jun 24, 2021	Dec 12, 2025	no	ROCK ISLAND, IL\|Bettendorf, IA	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jan 16, 2019	Nov 9, 2020	no	Bettendorf, IA	Previous registration
ANNEX WEALTH MANAGEMENT, LLC	Independent wealth	Feb 11, 2016	Jan 14, 2019	no	BROOKFIELD, WI	Previous registration
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Mar 21, 2014	Aug 19, 2015	no	ELM GROVE, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MWA FINANCIAL SERVICES, INC.	LPL FINANCIAL LLC	Dec 12, 2025	Nov 24, 2025	-18	Firm change	Ibd to ibd
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	MWA FINANCIAL SERVICES, INC.	Nov 9, 2020	Jun 24, 2021	227	Firm change	Ibd to RIA
ANNEX WEALTH MANAGEMENT, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Jan 14, 2019	Jan 16, 2019	2	Firm change	RIA to ibd
BMO HARRIS FINANCIAL ADVISORS, INC	ANNEX WEALTH MANAGEMENT, LLC	Aug 19, 2015	Feb 11, 2016	176	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 24, 2025 to presentfactForm ADV
→ MWA FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 24, 2021 to Dec 12, 2025factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Jan 16, 2019 to Nov 9, 2020factForm ADV
→ ANNEX WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 11, 2016 to Jan 14, 2019factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Mar 21, 2014 to Aug 19, 2015factForm ADV

Dated events

Occurred
Dec 12, 2025
Advisor changed firm
Susan Jean Sturm-Bailey left Mwa Financial Services, Inc. for Lpl Financial Llc (registered 2025-11-24)
Form ADVobserved 5 days ago