David S. Sutton
Professional summary
David Scott Sutton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, David had worked at 5 firms, which includes UVEST FINANCIAL SERVICES GROUP INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, CARTY HARDING & HEARN INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2006 - June 4, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
April 3, 2006 - June 4, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
March 15, 2004 - April 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2004 - April 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 2001 - September 15, 2003
UBS FINANCIAL SERVICES INC.
July 18, 2001 - September 15, 2003
UBS FINANCIAL SERVICES INC.
August 8, 1997 - July 18, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 16, 1993 - August 15, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 26, 1986 - September 26, 1988
CARTY, HARDING & HEARN, 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
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
Red Flags
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