James H. Sutton
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.
James Hayward Sutton was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2019. James had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2021 - July 25, 2022
ADAPTFIRST INVESTMENTS LLC
January 22, 2020 - March 2, 2021
MML INVESTORS SERVICES, LLC
January 15, 2020 - March 2, 2021
MML INVESTORS SERVICES, LLC
August 6, 2019 - October 8, 2019
EDWARD JONES
July 15, 2019 - October 8, 2019
EDWARD JONES
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 7TO
Date: 7/13/2019
General Securities Representative ExaminationCurrent Firm
ADAPTFIRST INVESTMENTS LLC
CRD#: 289096 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 856 |
| AUM (Assets Under Management) | $ 82,650,669 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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