Roger Bryan Sutton
Professional Summary
Roger Bryan Sutton was a registered financial advisor. Roger was a previously registered financial professional and started their career in finance 1995 - 2006. Roger had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
TODD SECURITIES, INC. | TODD SECURITIES, LLC
Contact Information
Established
North Carolina since 11/17/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TODD CONSULTING, INC. | PARENT | — |
| FRANCIS, KEVIN DAYTON | FINANCIAL AND OPERATIONS PRINCIPAL | 4901460 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1995About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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