Richard C. Sutherland
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 Clifton Sutherland III, who also goes by Richard Clifton Sutherland, Rick Sutherland, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 9 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2005 - February 24, 2006
TOWER SQUARE SECURITIES, INC.
April 7, 2003 - February 24, 2006
METROPOLITAN LIFE INSURANCE COMPANY
April 7, 2003 - February 24, 2006
MSI FINANCIAL SERVICES, INC.
May 16, 2001 - April 2, 2002
CLARK SECURITIES, INC.
January 22, 1999 - May 16, 2001
WESTPORT FINANCIAL SERVICES, L.L.C.
November 4, 1997 - January 12, 1998
MARSH & MCLENNAN SECURITIES CORPORATION
June 11, 1991 - July 1, 1997
JOHNSON & HIGGINS SECURITIES, INC.
March 23, 1987 - January 29, 1991
ROBERT W. BAIRD & CO. INCORPORATED
April 18, 1986 - January 29, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
TOWER SQUARE SECURITIES, INC.
CRD#: 833 / SEC#: 801-50585, 8-13752
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLAZA LLC | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
| 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.
