Michael D. Sutter

ROTHSCHILD & CO US

NEW YORK, NY 10020

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CRD#: 5598215

Professional summary

Michael D Sutter Jr., who also goes by Michael D Sutter Jr, Michael D Sutter, is a registered financial professional currently at ROTHSCHILD & CO US INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael D Sutter Jr | Michael D Sutter

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) - BD

Click below to view Michael D Sutter Jr.'s 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

July 9, 2020 - Present

ROTHSCHILD & CO US INC.

Office #1: 1251 Avenue Of The Americas, New York, NY 10020Office #2: 1251 Avenue Of The Americas, New York, NY 10020

CRD#: 2910

NEW YORK, NY

Past

April 30, 2018 - June 1, 2020

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

January 12, 2016 - May 2, 2018

CRC-IB

CRD#: 158736

Baltimore, MD

Past

August 14, 2012 - December 15, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BALTIMORE, MD

Past

November 23, 2009 - July 23, 2012

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BALTIMORE, MD

Past

December 10, 2008 - June 30, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

COLUMBIA, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(7/9/2020)

Exams

State Security Law Exam

Series 63

Date: 12/22/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 5/10/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 5/11/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/9/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ROTHSCHILD & CO US INC.

NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.

CRD#: 2910 / SEC#: , 8-13852

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1251 Avenue Of The Americas, New York, NY 10020

Mailing Address

1251 Avenue Of The Americas, New York, NY 10020

Phone number

(212) 403-3500

Established

Delaware since 07/20/1967

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ROTHSCHILD & CO NORTH AMERICA INC.	DIRECT SHAREHOLDER
CARROLL, JOHN MURRAY	DIRECTOR	2605675
FELDMAN, TRACY J	DIRECTOR	2575503
LONDON, FRANK STEVEN	CHIEF COMPLIANCE OFFICER	5861920
NEISSA, JAMES MANUEL	DIRECTOR	2142240
SCHACKERT, CHRISTA MARY	PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER	4219093
SPELLER, MICHAEL CHARLES	CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR	3105214

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael D. Sutter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael D Sutter Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

PIPER SANDLER & CO.

CRC-IB

STIFEL, NICOLAUS & COMPANY, INCORPORATED

T. ROWE PRICE INVESTMENT SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/2008

SIE

Date: 10/1/2018

Series 79

Date: 5/10/2016

Series 7

Date: 5/11/2010

Series 6

Date: 12/9/2008

FINRA

Current Firm

ROTHSCHILD & CO US INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROTHSCHILD & CO US INC.

TRUST BUT VERIFY

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