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Scott E. Sutton

SUTTON FINANCIAL GROUP
Birmingham, AL 35216
Some features on this profile are disabled
CRD#: 5911430
SS

Professional summary

Scott Edmond Sutton is a registered financial advisor currently at SUTTON FINANCIAL GROUP located in Birmingham, Alabama.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Scott has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Scott Edmond 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®
None

Experience

Current

February 12, 2020 - Present

SUTTON FINANCIAL GROUP

Office #1: 2075 Columbiana Road Suite 1, Birmingham, AL 35216
RIA
CRD#: 307351
Birmingham, AL
Past

May 19, 2011 - December 31, 2019

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
BIRMINGHAM, AL
Past

April 20, 2011 - December 31, 2019

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL

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.

Highlighted states indicate IAR registrations

IAR
Alabama
(2/12/2020)
IAR
Florida
(8/29/2022)
IAR
Georgia
(2/18/2020)
IAR
Mississippi
(7/14/2022)
IAR
Tennessee
(8/28/2020)
IAR
Texas
(6/2/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/21/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/2011
General Securities Representative Examination

Current Firm

SF
SUTTON FINANCIAL GROUP
SUTTON FINANCIAL GROUP | SUTTON, SCOTT EDMOND | SUTTON, SCOTT E.

CRD#: 307351 / SEC#:

Alabama
Registered Investment Advisory firm - (2/12/2020 Approved)
Florida
Registered Investment Advisory firm - (8/29/2022 Approved)
Georgia
Registered Investment Advisory firm - (2/18/2020 Approved)
Mississippi
Registered Investment Advisory firm - (12/6/2021 Approved)
Tennessee
Registered Investment Advisory firm - (8/27/2020 Approved)
Texas
Registered Investment Advisory firm - (6/2/2023 Conditional Restricted)
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Contact information

Main Address
2075 Columbiana Road Suite 1, Birmingham, AL 35216
Mailing Address
Phone number
(205) 540-1119
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts170
AUM (Assets Under Management)$ 65,000,000

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.

Company Information

SUTTON FINANCIAL GROUP

CRD#: 307351Birmingham, AL 35216

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