Elliot R. 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.
Elliot Richard Sutton was a registered financial professional .
Elliot is a previously registered financial professional and started their career in finance in 1970. Elliot had worked at 8 firms and has passed the Series 63, Series 7, Series 1, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 1986 - June 4, 1986
J. T. MORAN & CO., INC.
October 28, 1985 - July 23, 1987
PG SECURITIES CORP.
July 11, 1980 - April 18, 1984
SUTTWAY SECURITIES CORP
October 29, 1974 - April 20, 1975
CNA SALES, INC.
August 28, 1973 - September 5, 1974
FINANCIAL SECURITIES CO INC
April 3, 1973 - January 26, 1974
FINANCIAL SECURITIES CO., INC.
February 3, 1971 - November 26, 1972
EQUITY FUNDING SECURITIES CORP
May 19, 1970 - February 28, 1971
EASTERN STATES INVESTORS CORP.
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 1
Date: 5/8/1980
Registered Representative ExaminationCurrent Firm
J. T. MORAN & CO., INC.
CRD#: 15655 / SEC#: , 8-37337
Contact information
Documents
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.
