Richard L. Sutterfield
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 Lenn Sutterfield was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2017 - August 27, 2020
LPL FINANCIAL LLC
August 21, 2017 - August 27, 2020
LPL FINANCIAL LLC
July 13, 2016 - August 18, 2017
CONCORDE ASSET MANAGEMENT, LLC
July 11, 2016 - August 18, 2017
CONCORDE INVESTMENT SERVICES, LLC
February 2, 2016 - April 22, 2016
EDWARD JONES
February 1, 2016 - April 22, 2016
EDWARD JONES
January 21, 2014 - February 3, 2016
CETERA INVESTMENT ADVISERS LLC
December 19, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
April 25, 2012 - November 19, 2012
CETERA FINANCIAL SPECIALISTS LLC
August 19, 2010 - November 19, 2012
CETERA ADVISORS LLC
August 19, 2010 - November 19, 2012
CETERA WEALTH SERVICES, LLC
August 19, 2010 - February 3, 2016
CETERA INVESTMENT SERVICES LLC
July 6, 2010 - July 12, 2010
USA WEALTH MANAGEMENT LLC
March 15, 2010 - July 12, 2010
USA ADVANCED PLANNERS INC.
January 10, 2008 - December 5, 2008
SIGMA FINANCIAL CORPORATION
October 2, 2007 - January 11, 2008
FIFTH THIRD SECURITIES, INC.
May 31, 2007 - January 11, 2008
FIFTH THIRD SECURITIES, INC.
March 7, 2005 - May 25, 2007
UBS FINANCIAL SERVICES INC.
August 17, 2004 - February 16, 2005
LASALLE FINANCIAL SERVICES, INC.
August 29, 2002 - December 7, 2004
NATCITY INVESTMENTS, INC.
November 22, 2000 - August 21, 2002
BANC ONE SECURITIES CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
