Thomas A. 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.
Thomas Anthony Sutton was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2013 - January 2, 2025
HAND SECURITIES, INC
September 19, 2012 - July 1, 2013
GIRARD INVESTMENT SERVICES, LLC
May 3, 2011 - March 1, 2012
CETERA WEALTH SERVICES, LLC
May 2, 2011 - March 1, 2012
CETERA WEALTH SERVICES, LLC
November 17, 2005 - May 2, 2011
ADP BROKER-DEALER, INC.
June 23, 1997 - February 14, 2005
ADP BROKER-DEALER, INC.
May 24, 1996 - July 10, 1997
TUCKER ANTHONY INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HAND SECURITIES, INC
CRD#: 45198 / SEC#: , 8-51001
Contact information
FINRA licenses (38 States and Territories)
Red Flags
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