Stuart S. Sutton
Professional summary
Stuart S. Sutton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stuart is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Stuart had worked at 4 firms, which includes CANTELLA & CO. INC., MORGAN STANLEY, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2019 - March 25, 2019
CANTELLA & CO., INC.
June 1, 2009 - September 25, 2018
MORGAN STANLEY
June 1, 2009 - September 25, 2018
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 2, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
May 2, 2005 - April 2, 2007
MORGAN STANLEY DW 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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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