Carol Y. Ransom Sutterfield

GRADIENT ADVISORS

Fort Smith, AR 72901

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CRD#: 4218018

Professional summary

Carol Yvonne Ransom Sutterfield, who also goes by Carol Yvonne Kirk, Carol Yvonne Ransom, is a registered financial advisor currently at GRADIENT ADVISORS, LLC located in Fort Smith, Arkansas.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Carol has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol Yvonne Kirk | Carol Yvonne Ransom

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.

1) DBA NORTHERN STAR ADVISORY GROUP, INC.; INV-RELATED; 6101 PHOENIX AVE SUITE 4, FORT SMITH AR 72903; DBA FOR SECURITIES AND ADVISORY BUSINESS; START 01/2015; 160 HRS/MO; 160 HRS/MO DURING TRADING. 2) NORTHERN STAR FINANCIAL GROUP, LLC; INV-RELATED; 423 No 6th St. FORT SMITH AR 72903; FIXED INSURANCE SALES, AGENT AND MEMBER; START 01/2015; 20 HRS/MO; 20 HRS/MO DURING TRADING; FIXED INSURANCE SALES AND SERVICE. 3) CAROL Y. RANSOM, INC; NOT INV-RELATED; 423 No 6th St, FORT SMITH AR 72903; OWNER; START 12/2014; 3 HRS/MO; 3 HRS/MO DURING TRADING; PAYROLL AND ACCOUNTING PURPOSES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Yvonne Ransom Sutterfield's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 4, 2017 - Present

GRADIENT ADVISORS, LLC

Office #1: 423 No 6th St, Fort Smith, AR 72901

RIA

CRD#: 152665

Fort Smith, AR

Past

January 27, 2015 - December 31, 2016

GRADIENT SECURITIES, LLC

RIA

CRD#: 127701

FORT SMITH, AR

Past

December 23, 2013 - January 27, 2015

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

FORT SMITH, AR

Past

December 23, 2013 - December 31, 2016

GRADIENT SECURITIES, LLC

CRD#: 127701

FORT SMITH, AR

Past

September 16, 2002 - October 15, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

FORT SMITH, AR

Past

September 16, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 16, 2002 - October 15, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

FORT SMITH, AR

Past

February 7, 2002 - August 22, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LITTLE ROCK, AR

Past

November 20, 2000 - August 22, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arkansas
(1/4/2017)

IAR

Oklahoma
(1/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/30/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/2000

General Securities Representative Examination

Current Firm

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 Approved)

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Contact information

Main Address

4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126

Mailing Address

Phone number

(877) 885-0508

Established

Firm type

Fiscal year end

# of Employees

169

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B 10-2025 (10/21/2025)

Regulatory assets under management

Total Number of Accounts	3,222
AUM (Assets Under Management)	$ 218,611,410

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.

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Firm Stability Insights

Carol Y. Ransom Sutterfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Yvonne Ransom Sutterfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT SECURITIES, LLC

GRADIENT ADVISORS, LLC

GRADIENT SECURITIES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

GRADIENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/30/2001

SIE

Date: 12/31/2016

Series 7

Date: 11/17/2000

Current Firm

GRADIENT ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRADIENT ADVISORS, LLC

TRUST BUT VERIFY

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