Roger B. Sutton
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.
Roger Bryan Sutton was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1995. Roger had worked at 3 firms and has passed the Series 63, Series 65, SIE 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
May 15, 2002 - December 12, 2006
TODD SECURITIES, LLC
December 21, 1996 - May 14, 2002
NATHAN & LEWIS SECURITIES, INC.
August 11, 1995 - December 31, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
TODD SECURITIES, LLC
CRD#: 116150 / SEC#: , 8-53531
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TODD CONSULTING, INC. | PARENT | |
| FRANCIS, KEVIN DAYTON | FINANCIAL AND OPERATIONS PRINCIPAL | 4901460 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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