Daniel C. Sutton
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.
Daniel Cory Sutton, who also goes by Dan Sutton, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 10 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 1997 - September 26, 2001
INTERFIRST CAPITAL CORPORATION
February 2, 1995 - January 23, 1997
RMC FINANCIAL SERVICES, INC.
January 1, 1995 - January 24, 1995
COMERICA SECURITIES
July 27, 1993 - January 27, 1995
FIMCO SECURITIES GROUP, INC.
July 26, 1993 - January 1, 1995
COMERICA FINANCIAL SERVICES, INC.
June 30, 1992 - September 9, 1992
COMERICA SECURITIES
April 3, 1992 - June 30, 1992
COMERICA BROKERS, INC.
October 26, 1990 - April 3, 1992
BANC ONE SECURITIES CORPORATION
September 7, 1990 - October 26, 1990
MBANK CAPITAL MARKETS, INC.
December 11, 1987 - February 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 1984 - May 10, 1988
E. F. HUTTON & COMPANY 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
Current Firm
INTERFIRST CAPITAL CORPORATION
CRD#: 7659 / SEC#: , 8-22805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MHK INVESTMENT CORPORATION | HOLDING COMPANY | |
| PHILLIPS, BRADFORD ASHLEY | CHAIRMAN, PRESIDENT AND CEO | 1730426 |
| ROGERS, KENNETH WALTER | EXECUTIVE VICE PRESIDENT SALES, DIRECTOR | 500255 |
| ROGERS, PAULA ANDREA | FINANCIAL AND OPERATIONS PRINCIPAL | 2167864 |
| TENNEY, LOUIS RUSSELL | SROP | 1032315 |
| TENNEY, LOUIS RUSSELL | MUNICIPAL BOND PRINCIPAL | 1032315 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
