JS
Jeremy R. Sutton
RBC CAPITAL MARKETS
Chicago, IL
Some features on this profile are disabled
CRD#: 5680461
JS
Professional summary
Jeremy Ronnebaum Sutton, who also goes by Jeremy R Sutton, Jeremy Sutton, Jeremy Ronnebaum Jost Sutton, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Chicago, Illinois.
Jeremy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Jeremy has worked at 3 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeremy R Sutton | Jeremy Sutton | Jeremy Ronnebaum Jost 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.
RENTAL PROPERTY; INVESTMENT RELATED; PLYMOUTH, MN; 100% OWNERSHIP; START 7/01/2007; 1 HOUR PER MONTH / 0 DURING TRADING HOURS. RENTAL PROPERTY, INVESTMENT RELATED; CHICAGO, IL. START: 07/2017, 1 HOUR/MONTH, 0 DURING TRADING, RENTAL GRUNGE CANDY, LLC; NOT INVESTMENT RELATED; CHICAGO,IL; 20% OWNERSHIP; START 5/04/2019; NUMBER OF HOURS PER MONTH 5; NUMBER OF HOURS DURING TRADING 0; BASS PLAYER. 4705 4707 FRANCE AVENUE SOUTH LLC, INV RELATED, CHICAGO, IL, 100% OWNERSHIP WITH SPOUSE, START 10/14/2019, 5 HOURS PER MONTH, ZERO DURING TRADING, FACILITATES RENTAL PROPERTY. 6626 CAMDEN DRIVE LLC, INV RELATED, CHICAGO, IL, 100% OWNERSHIP WITH SPOUSE, START 10/14/2019, 5 HOURS PER MONTH, ZERO DURING TRADING, FACILITATES RENTAL PROPERTY. 9515 24TH AVENUE N. LLC, INV RELATED, CHICAGO, IL, 100% OWNERSHIP WITH SPOUSE, START 10/14/2019, 5 HOURS PER MONTH, ZERO DURING TRADING, FACILITATES RENTAL PROPERTY. BEACHWALK QOZ FUND ONE LLC, INV RELATED, CHICAGO, IL, 100% OWNERSHIP WITH SPOUSE, START 12/19/2019, 1 HOUR PER MONTH, ZERO DURING TRADING, HOLDS RENTAL PROPERTY. RENTAL PROPERTY, INV RELATED, MICHIGAN CITY, IN, 100% OWNERSHIP, START 6/6/2020, 2 HOURS PER MONTH, ZERO DURING TRADING. NAME OF ENTITY: 9515 24th Ave North LLC ADDRESS: 2049 West McLean Avenue Chicago, IL 60647 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Residential Real Estate Investment CAPACITY: Owner - Active START DATE: 06/01/07 DUTIES: Maintaining books and records, spending decisions HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 NAME OF ENTITY: Beachwalk QOZ Fund One LLC ADDRESS: 2049 West McLean Avenue Chicago, IL 60647 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Residential Real Estate Investment CAPACITY: Owner - Active START DATE: 10/01/19 DUTIES: Maintaining books and records, spending decisions HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 NAME OF ENTITY: 6626 Camden Drive LLC ADDRESS: 2049 West McLean Avenue Chicago, IL 60647 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Residential Real Estate Investment CAPACITY: Owner - Active START DATE: 06/01/07 DUTIES: Keeping the books and records HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 NAME OF ENTITY: Chicago Area Cover Band ADDRESS: 2049 West McLean Avenue Chicago, IL 60647 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Intermittent performance as bass player in Chicago are cover bands CAPACITY: Sole Proprietor, Other START DATE: 05/01/13 DUTIES: Bass player, compensation is limited and intermittent HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 NAME OF ENTITY Residential Rental Property ADDRESS Private Residence NOT INVESTMENT RELATED BUSINESS DESCRIPTION Residential Real Estate Investment CAPACITY Owner - Passive START DATE 08/16/2021 DUTIES Will be very limited after initial investment, primarily annual books and financial reporting HOURS DEVOTED PER MONTH 01 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH 01 NAME OF ENTITY: Friends of Pulaski ADDRESS: 2230 W McLean Ave Chicago, IL 60647 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Not for profit organization supporting educational programming at Pulaski International School CAPACITY: Treasurer START DATE: 9/13/2021 DUTIES: Deposit check and cash donations, maintain quick books accounts for the organization, prepare financial statements for the board meetings, assist in preparation of annual 990. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 NAME OF ENTITY: Union League Boys and Girls Clubs ADDRESS: 65 W Jackson Blvd, Chicago, IL 60604 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 10.31.24 CAPACITY: Board of Directors DUTIES: HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Jeremy Ronnebaum Sutton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeremy Ronnebaum Sutton'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®
NoneExperience
Current
April 23, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 111 S Wacker Drive Suite 3200, Chicago, IL 60606RIA
BD
CRD#: 31194
Chicago, IL
Current
April 23, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 111 S Wacker Drive Suite 3200, Chicago, IL 60606RIA
BD
CRD#: 31194
Chicago, IL
Past
August 15, 2016 - April 29, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHICAGO, IL
Past
August 12, 2016 - April 29, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHICAGO, IL
Past
October 13, 2010 - August 12, 2016
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
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
RR
Arizona(4/23/2020)
RR
California(4/23/2020)
RR
Colorado(4/23/2020)
RR
Connecticut(4/23/2020)
RR
Delaware(8/30/2021)
RR
District of Columbia(3/28/2023)
RR
Florida(4/23/2020)
RR
Georgia(8/14/2025)
RR
Illinois(4/23/2020)
IAR
Illinois(4/23/2020)
RR
Indiana(4/23/2020)
RR
Iowa(12/3/2021)
RR
Kansas(8/20/2025)
RR
Kentucky(8/20/2025)
RR
Louisiana(3/14/2025)
RR
Maryland(4/23/2020)
RR
Massachusetts(11/19/2020)
RR
Michigan(4/23/2020)
RR
Minnesota(4/23/2020)
RR
Missouri(8/14/2025)
RR
Nevada(4/23/2020)
RR
New Jersey(4/23/2020)
RR
New Mexico(9/5/2025)
RR
New York(4/23/2020)
RR
North Carolina(10/4/2022)
RR
Ohio(4/23/2020)
RR
Oregon(12/21/2023)
RR
Pennsylvania(8/14/2025)
RR
Puerto Rico(2/2/2022)
RR
South Carolina(8/14/2025)
RR
Tennessee(3/29/2022)
RR
Texas(4/23/2020)
IAR
Texas(4/23/2020)
RR
Virginia(4/23/2020)
RR
Washington(8/14/2025)
RR
Wisconsin(4/23/2020)
RR
Wyoming(10/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
