Thomas R. Zuttermeister
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.
Thomas Roger Zuttermeister, who also goes by Thomas R Zuttermeister, Tom Zuttermeister, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
May 2, 2017 - October 5, 2023
MASCOMA WEALTH MANAGEMENT
May 21, 2014 - May 8, 2017
LPL FINANCIAL LLC
May 21, 2014 - May 8, 2017
LPL FINANCIAL LLC
April 22, 2013 - May 19, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 4, 1999 - May 19, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 10, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
August 18, 1995 - October 9, 1998
IFMG SECURITIES, INC.
June 2, 1993 - August 24, 1995
WALL STREET ACCESS
September 1, 1989 - June 1, 1993
MOORS & CABOT, INC.
Primary Firm SEC Registration
MASCOMA WEALTH MANAGEMENT
CRD#: 174907 / SEC#: 801-80982
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
MASCOMA WEALTH MANAGEMENT
CRD#: 174907 / SEC#: 801-80982
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,127 |
| AUM (Assets Under Management) | $ 504,692,004 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/07/2025 |
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.
