Sally Aelion
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.
Sally Aelion, who also goes by Sally Georgette Aelion, was a registered financial professional .
Sally is a previously registered financial professional and started their career in finance in 1985. Sally had worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 27, Series 4 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
November 18, 2021 - May 4, 2026
SUTTER SECURITIES INCORPORATED
October 24, 2018 - August 14, 2019
SUTTER SECURITIES CLEARING, LLC
August 1, 2017 - November 8, 2018
CALDWELL SUTTER CAPITAL, INC.
February 9, 2015 - November 19, 2019
SUTTER SECURITIES INCORPORATED
July 21, 2011 - February 1, 2013
WFG ADVISORS, LP
July 21, 2011 - February 1, 2013
WFG INVESTMENTS, INC.
July 30, 1998 - July 31, 2009
EMMETT A LARKIN COMPANY, INC.
December 23, 1987 - July 31, 2009
EMMETT A LARKIN COMPANY, INC.
January 13, 1987 - November 16, 1987
E.M.R. ENTERPRISES
October 17, 1986 - January 23, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
May 21, 1985 - July 23, 1987
FIRST STATEWIDE 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 9/25/2000
Limited Representative-Equity Trader ExamCurrent 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 | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
