Byron M. Sutton
Professional summary
Byron M Sutton, who also goes by Byron Mimms Sutton, Byron Sutton, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas and FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Byron is registered as a RR (Registered Representative) and started their career in finance in 2004. Byron has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Byron M Sutton's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 3, 2018 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262January 27, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262August 6, 2012 - February 20, 2018
FIDELITY BROKERAGE SERVICES LLC
October 5, 2010 - July 16, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
April 17, 2006 - July 16, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
April 6, 2004 - January 27, 2006
IDS LIFE INSURANCE COMPANY
April 6, 2004 - January 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/3/2018)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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