Michael J. Suttle
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.
Michael Jay Suttle was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 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
April 14, 2014 - July 20, 2017
VISION FINANCIAL MANAGEMENT, LLC
August 13, 2009 - October 28, 2015
LPL FINANCIAL LLC
August 12, 2009 - July 6, 2017
LPL FINANCIAL LLC
August 5, 2005 - August 17, 2009
BROOKSHIRE FINANCIAL GROUP, INC.
May 4, 2004 - August 12, 2009
COMMONWEALTH FINANCIAL NETWORK
April 20, 2004 - August 12, 2009
COMMONWEALTH FINANCIAL NETWORK
February 3, 1997 - September 25, 1998
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
VISION FINANCIAL MANAGEMENT, LLC
CRD#: 170003 / SEC#: 801-133721
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
VISION FINANCIAL MANAGEMENT, LLC
CRD#: 170003 / SEC#: 801-133721
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 547 |
| AUM (Assets Under Management) | $ 119,950,797 |
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.
