Robert F. Sutner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert F Sutner, who also goes by Bob Sutner, Robert Frederick Sutner, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 5 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 1990 - December 31, 2000
CADARET, GRANT & CO., INC.
November 13, 1986 - September 21, 1990
FINANCIAL SQUARE PARTNERS
July 16, 1986 - November 3, 1986
HARMON AMERICAN SECURITIES COMPANY, L.P.
December 17, 1981 - May 27, 1986
NATHAN & LEWIS SECURITIES, INC.
April 9, 1970 - March 12, 1976
CIP, INC. C/O GALPEER, ALTUS & KARP
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
Series 1
Date: 9/24/1965
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
