Eric N. Gutterson
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.
Eric Norman Gutterson, who also goes by Eric Gutterson, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1985. Eric had worked at 5 firms and has passed the Series 63 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
December 3, 2010 - October 22, 2019
MIDDLETON & COMPANY INC.
November 6, 2002 - December 31, 2006
LAUREL CAPITAL ADVISORS LLP
April 18, 1994 - May 6, 1996
NATIXIS DISTRIBUTION, LLC
December 4, 1990 - April 18, 1994
NEW ENGLAND SECURITIES
May 23, 1985 - January 27, 1990
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
MIDDLETON & COMPANY INC.
CRD#: 104549 / SEC#: 801-21247
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
MIDDLETON & COMPANY INC.
CRD#: 104549 / SEC#: 801-21247
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 602 |
| AUM (Assets Under Management) | $ 1,159,077,098 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 08/28/2024 | ||
| 11/28/2023 | ||
| 02/24/2023 |
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.
