Anthony C. Sutton
LPL ENTERPRISE
VIENNA, VA 22182
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CRD#: 6742717
Professional summary
Anthony Corbin Sutton, CFP® is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Vienna, Virginia.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Anthony has worked at 7 firms and has passed the Series 66, Series 7TO and SIE 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.
1) 12/10/2024 - Friends of Old Town - Treasurer for non-profit. Coordinate with local businesses and stakeholders to develop strategies for economic development and vitality of Old Town Winchester, VA - Non-Profit Board Member - Inv Related - At Winchester, VA - Start Date 05/02/2022 - 10hrs/mth - 2hrs/mth During Trading 2) 12/10/2024 - United Healthcare - Agent - Commissioned agent for Medicare advantage plans - Non-Variable Insurance - Inv Related - At Winchester, VA - Start Date 08/15/2024 - 5hrs/mth - 3hrs/mth During Trading 3) 11/14/2024 - Woodward Financial LLC - Created LLC to deduct Prudential business expenses - Business Entity for Tax/Investment Purposes Only - Inv Related - At Winchester, VA - Start Date 01/16/2024 - 40hrs/mth - 40hrs/mth During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Corbin Sutton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Corbin 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®
CFP®
Start date: 2021
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1919 Gallows Road Suite 100, Vienna, VA 22182Office #2: 100 N Loudoun St, Winchester, VA 22601RIA
BD
CRD#: 8733
VIENNA, VA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1919 Gallows Road Suite 100, Vienna, VA 22182Office #2: 100 N Loudoun St, Winchester, VA 22601RIA
BD
CRD#: 8733
VIENNA, VA
Past
August 29, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
VIENNA, VA
Past
August 29, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
VIENNA, VA
Past
October 1, 2021 - August 28, 2023
WATER STREET FINANCIAL LLC
RIA
CRD#: 314822
WINCHESTER, VA
Past
October 15, 2020 - September 30, 2021
WEALTHCARE ADVISORY PARTNERS LLC
RIA
CRD#: 171976
WINCHESTER, VA
Past
October 14, 2020 - September 8, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
WINCHESTER, VA
Past
May 21, 2019 - September 24, 2020
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
ASHBURN, VA
Past
December 17, 2018 - September 24, 2020
VALMARK SECURITIES, INC.
BD
CRD#: 31243
ASHBURN, VA
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
California(11/14/2024)
RR
District of Columbia(11/14/2024)
RR
Maryland(11/14/2024)
RR
New York(6/5/2025)
RR
North Carolina(8/7/2025)
RR
Oklahoma(11/14/2024)
RR
Tennessee(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Virginia(11/14/2024)
IAR
Virginia(11/14/2024)
RR
West Virginia(11/14/2024)
RR
Wisconsin(12/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/17/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
