Thomas R. Suger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Richard Suger was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 11 firms and has passed the Series 63, SIE, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2015 - November 18, 2015
SUTTER SECURITIES INCORPORATED
October 18, 2012 - July 3, 2013
RAYMOND JAMES & ASSOCIATES, INC.
December 15, 2005 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
May 10, 2002 - January 4, 2006
ADVEST, INC.
December 15, 2000 - March 1, 2002
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
July 12, 1994 - November 6, 2000
WACHOVIA SECURITIES, INC.
February 28, 1990 - June 10, 1994
GREENWICH PARTNERS, LLC
June 27, 1988 - March 8, 1989
GLICKENHAUS & CO.
March 15, 1988 - July 6, 1988
LEHMAN BROTHERS INC.
July 31, 1985 - January 14, 1988
PRUDENTIAL EQUITY GROUP, LLC
March 27, 1984 - June 7, 1985
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 6/6/1984
Foreign Currency Options ExaminationCurrent Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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