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Scott E. Sutton
SUTTON FINANCIAL GROUP
Birmingham, AL 35216
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CRD#: 5911430
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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.
BUSINESS PLANNING INC POSITION: Employee NATURE: employee benefit consultants; third party administration INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/01/2010 ADDRESS: 2075 Columbiana Road, Suite 1, Birmingham AL 35216, United States DESCRIPTION: Employee benefit consultants; third party administrator CPA POSITION: CPA NATURE: non-practicing CPA license INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1993 ADDRESS: 204 Virginia Drive, Birmingham AL 35209, United States DESCRIPTION: I maintain a CPA license with the state of Alabama; however, I do not actively practice accounting INSURANCE SALES POSITION: Employee NATURE: insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 ADDRESS: 6 Office Park Circle, Suite 312 Birmingham AL 35223, United States DESCRIPTION: accounting RM Sher Group, LLC POSITION: accounting/controller INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 ADDRESS: 2075 Columbiana Road, Suite 1, Birmingham AL 35216, United States DESCRIPTION: accounting support
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®
NoneExperience
Current
February 12, 2020 - Present
SUTTON FINANCIAL GROUP
Office #1: 2075 Columbiana Road Suite 1, Birmingham, AL 35216RIA
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
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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
Regulatory assets under management
| Total Number of Accounts | 170 |
| AUM (Assets Under Management) | $ 65,000,000 |
Red Flags
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Company Information
SUTTON FINANCIAL GROUP
CRD#: 307351Birmingham, AL 35216TRUST BUT VERIFY
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