Anthony J. Hutton
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.
Anthony James Hutton, who also goes by Anthony Hutton, Tony Hutton, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1996. Anthony had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2021 - November 17, 2023
HALTER FERGUSON FINANCIAL INC
March 19, 2015 - January 8, 2021
SCHWAB WEALTH ADVISORY, INC.
March 17, 2015 - March 24, 2015
CHARLES SCHWAB & CO., INC.
January 14, 2015 - January 8, 2021
CHARLES SCHWAB & CO., INC.
October 20, 2003 - August 12, 2005
TRANSAMERICA INVESTORS SECURITIES, LLC
February 4, 1996 - October 6, 2003
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
HALTER FERGUSON FINANCIAL INC
CRD#: 109563 / SEC#: 801-57288
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 55
Date: 3/29/2002
Limited Representative-Equity Trader ExamSeries 8
Date: 1/20/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HALTER FERGUSON FINANCIAL INC
CRD#: 109563 / SEC#: 801-57288
Contact information
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 950 |
| AUM (Assets Under Management) | $ 487,810,150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2022 |
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.
