Neil William Sutton
Professional Summary
Neil William Sutton, who also goes by Neil Sutton, is a registered financial advisor currently at LORD, ABBETT & CO. LLC located in Mclean, Virginia and LORD ABBETT DISTRIBUTOR LLC located in Jersey City, New Jersey. Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Neil has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Neil Sutton
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.
Contact Information
Main Address
30 Hudson Street, Jersey City, NJ 07302-4804Phone Number
(201) 827-2000# of Employees
821SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
25,798AUM (Assets Under Management)
$270,386,783,963Similar Advisors
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.
State Registrations and Notice Filings
(7/27/2012)
(8/14/2012)
(7/27/2012)
(8/1/2012)
(1/18/2005)
(12/24/2024)
(1/18/2005)
(7/27/2012)
(7/27/2012)
(7/27/2012)
(8/3/2012)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Neil William Sutton's CRS (Customer Relationship Summary).
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