James P. Sutton
Professional summary
James Phillip Sutton, who also goes by Phil Sutton, is a registered financial professional currently at KOVACK SECURITIES INC. located in Irmo, South Carolina.
James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Phillip Sutton's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2014 - Present
KOVACK SECURITIES INC.
March 31, 2005 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
January 1, 2004 - April 12, 2005
CETERA FINANCIAL SPECIALISTS LLC
December 1, 1997 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
February 6, 1985 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/28/2021)
(10/15/2014)
(10/15/2014)
Exams
FINRA
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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