Ryan H. Sauter
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.
Ryan H Sauter, who also goes by Ryan Hall Sauter, Ryan Sauter, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2003. Ryan had worked at 9 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7, Series 3 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
March 13, 2017 - July 26, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
March 2, 2017 - July 23, 2019
PNC CAPITAL ADVISORS LLC
January 26, 2016 - February 21, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 19, 2010 - December 9, 2010
CARY STREET PARTNERS
June 29, 2010 - December 9, 2010
CARY STREET PARTNERS
April 2, 2007 - June 26, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 26, 2007
MORGAN STANLEY & CO. LLC
October 20, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
October 20, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
January 3, 2006 - October 9, 2006
DEUTSCHE BANK SECURITIES INC.
February 6, 2004 - October 9, 2006
DEUTSCHE BANK SECURITIES INC.
January 28, 2003 - February 5, 2004
CITIGROUP GLOBAL MARKETS INC.
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
FORESIDE DISTRIBUTION SOLUTIONS, LLC
CRD#: 118787 / SEC#: , 8-53686
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | OWNER | |
| BERTHY, RICHARD JOHN MR. | PRESIDENT/MANAGER/DIRECTOR/TREASURER | 1341368 |
| DIVALERIO, JENNIFER KAY | VICE PRESIDENT | 3236826 |
| FAIRBANKS, MARK ALAN | VICE PRESIDENT | 1847318 |
| HOOPES, JENNIFER ELLEN | SECRETARY | 5462575 |
| MOSCARITOLO, SUSAN KALLAI | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2618909 |
| SOMMERS, WESTON | FINANCIAL AND OPERATIONS PRINCIPAL | 5290145 |
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.
