Sandra A. Sutter
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.
Sandra Ann Sutter, who also goes by Sandra Ann Cross, Sandra Sutter Cross, Sandra A Sutter, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1993. Sandra had worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 4, Series 53 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
February 22, 2022 - November 21, 2025
J.P. MORGAN SECURITIES LLC
January 4, 2022 - November 21, 2025
J.P. MORGAN SECURITIES LLC
April 13, 2015 - December 13, 2021
LPL FINANCIAL LLC
March 11, 2015 - December 13, 2021
LPL FINANCIAL LLC
February 24, 2014 - April 28, 2014
ALPINE SECURITIES CORPORATION
August 1, 2012 - September 9, 2013
MVP AMERICAN SECURITIES
January 25, 2012 - August 3, 2012
POINTE ATLANTIC, INC
July 1, 2009 - December 31, 2009
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
February 26, 2009 - April 1, 2010
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 22, 2005 - August 1, 2008
MML INVESTORS SERVICES, LLC
September 9, 2002 - June 11, 2003
E*TRADE ADVISORY SERVICES, INC.
August 28, 2002 - June 11, 2003
E*TRADE SECURITIES LLC
August 14, 2001 - February 1, 2002
GUARANTY BROKERAGE SERVICES, INC.
September 14, 1999 - May 22, 2000
PRUCO SECURITIES, LLC.
April 5, 1999 - July 14, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 18, 1997 - April 9, 1999
BA INVESTMENT SERVICES, INC.
February 7, 1997 - August 13, 1997
CULLUM & SANDOW SECURITIES, INC.
August 19, 1993 - August 16, 1996
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Series 99TO
Date: 7/26/2025
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
