Neil W. Sutton

LORD, ABBETT & CO. LLC

MCLEAN, VA

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CRD#: 4876595

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neil Sutton

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil William Sutton'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 18, 2005 - Present

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

MCLEAN, VA

Current

January 1, 2005 - Present

LORD ABBETT DISTRIBUTOR LLC

Office #1: 30 Hudson Street, Jersey City, NJ 07302-4804

CRD#: 530

JERSEY CITY, NJ

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".

LORD, ABBETT & CO. LLC

LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA

Registered Investment Advisory firm - (11/7/1970 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

District of Columbia
(7/27/2012)

IAR

District of Columbia
(8/14/2012)

Maryland
(7/27/2012)

IAR

Maryland
(8/1/2012)

New Jersey
(1/18/2005)

IAR

New Jersey
(12/24/2024)

New York
(1/18/2005)

Virginia
(7/27/2012)

IAR

Virginia
(7/27/2012)

West Virginia
(7/27/2012)

IAR

West Virginia
(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

State Security Law Exam

IAR

Series 66

Date: 1/14/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LORD, ABBETT & CO. LLC

LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA

Registered Investment Advisory firm - (11/7/1970 Approved)

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Contact information

Main Address

30 Hudson Street, Jersey City, NJ 07302-4804

Mailing Address

Phone number

(201) 827-2000

Established

Firm type

Fiscal year end

# of Employees

789

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (12/20/2024)

Regulatory assets under management

Total Number of Accounts	30,191
AUM (Assets Under Management)	$ 238,757,080,041

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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Neil W. Sutton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil William Sutton's CRS (Customer Relationship Summary).

Certified licenses

Experience

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

Primary Firm SEC Registration

LORD, ABBETT & CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/14/2005

SIE

Date: 10/1/2018

Series 7

Date: 12/22/2004

FINRA

Current Firm

LORD, ABBETT & CO. LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LORD, ABBETT & CO. LLC

TRUST BUT VERIFY

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