Finis H. 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.
Finis Hamilton Sutterfield JR, who also goes by Jeff Sutterfield, was a registered financial advisor .
Finis is a previously registered financial advisor and started their career in finance in 1994. Finis had worked at 7 firms and has passed the Series 65, 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 8, 2006 - October 3, 2008
APPLIED FINANCIAL CONCEPTS
July 13, 2000 - October 15, 2004
CETERA ADVISORS LLC
November 18, 1999 - December 16, 2004
APPLIED FINANCIAL CONCEPTS
October 15, 1999 - July 13, 2000
SECURITIES SERVICE NETWORK, LLC
December 22, 1998 - October 5, 1999
TRIVE NEW YORK LLC
February 1, 1996 - November 19, 1998
VOYA FINANCIAL ADVISORS, INC.
November 16, 1994 - November 30, 1995
WMA SECURITIES, 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
No current employment
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.
