Stuart A. Sutphin
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.
Stuart Andrew Sutphin, CFP® was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 2016. Stuart had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2018
Experience
September 9, 2021 - January 10, 2025
OPEN DOORS FP
August 28, 2020 - July 9, 2021
CLEARLOGIC FINANCIAL, INC.
September 21, 2017 - July 31, 2020
HERITAGE FINANCIAL LLC
October 7, 2016 - December 31, 2017
THE STRATEGIC FINANCIAL ALLIANCE, INC.
August 30, 2016 - October 4, 2016
SPIRE SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OPEN DOORS FP
CRD#: 315454 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 611,000 |
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.
