Richard D. Sutter
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.
Richard Donald Sutter JR, who also goes by Rick Sutter, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 11 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2003 - September 10, 2003
TRG FINANCIAL, INC.
March 7, 2001 - July 11, 2001
LIGHTSPEED PROFESSIONAL TRADING LLC
May 12, 2000 - March 14, 2001
PROTECTIVE GROUP SECURITIES CORPORATION
May 14, 1999 - August 20, 1999
KEY CLEARING CORP.
August 13, 1998 - May 14, 1999
KEY INVESTMENTS INC.
November 22, 1996 - December 11, 1997
HORNOR, TOWNSEND & KENT, LLC
September 3, 1994 - November 5, 1996
USLIFE EQUITY SALES CORP.
December 13, 1993 - August 9, 1994
HIMCO DISTRIBUTION SERVICES COMPANY
January 1, 1992 - October 22, 1993
WOODBURY FINANCIAL SERVICES, INC.
February 6, 1990 - December 31, 1991
OSAIC FS, INC.
July 26, 1984 - October 18, 1989
INVESTMENTS, INCORPORATED
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 55
Date: 5/4/2001
Limited Representative-Equity Trader ExamCurrent Firm
TRG FINANCIAL, INC.
CRD#: 43870 / SEC#: 801-72702, 8-50449
Contact information
FINRA licenses (4 States and Territories)
Red Flags
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