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Richard G. Suter

Some features on this profile are disabled
CRD#: 819649
RS

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.

Richard George Suter was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 5 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 30, 2000 - May 16, 2012

MMC SECURITIES LLC

BD
CRD#: 103846
BOSTON, MA
Past

December 1, 1989 - December 30, 2000

MARSH & MCLENNAN SECURITIES CORPORATION

BD
CRD#: 556
NEW YORK, NY
Past

May 26, 1983 - August 8, 1983

NEW ENGLAND SECURITIES

BD
CRD#: 615
Past

March 2, 1982 - December 7, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

March 15, 1976 - November 11, 1989

G. R. PHELPS & CO., INC.

BD
CRD#: 173

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 3/3/1976
Registered Representative Examination

Current Firm

MS
MMC SECURITIES LLC
MARSH INSURANCE & INVESTMENTS CORP. | MMC SECURITIES LLC | MMC SECURITIES CORP. | MMC SECURITIES CORP | MMA NEW ENGLAND | MMA - BARNEY AND BARNEY | MIIC INSURANCE SERVICES CORP | MERCER H & B EXECUTIVE BENEFITS | MERCER DC ADVISORS; MMA NEW ENGLAND; MERCER H & B EXEC. BENEFITS | MERCER DC ADVISORS | MARSH INSURANCE AGENCY & INVESTMENTS CORP | MARSH INSURANCE & INVESTMENTS CORPORATION

CRD#: 103846 / SEC#: 801-60515, 8-52349

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
1166 Avenue Of The Americas 31st Floor, New York, NY 10036
Mailing Address
1166 Avenue Of The Americas, New York, NY 10036
Phone number
(212) 345-5000
Established
Delaware since 04/01/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MMC SECURITIES ADV PART 2A (4/18/2019)

Direct owners and executive officers

NamePositionCRD#
MARSH INSURANCE & INVESTMENTS LLCSOLE MEMBER
BLACKMORE, KIMBERLY LYNNFINOP PRINCIPAL, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, DIRECTOR AND TREASURER2219307
KEANE, DARREN PETERDEPUTY CCO, DIRECTOR6900143
KUMAR, SHIVCEO AND DIRECTOR3165711
MA, JOHN SUNGPRINCIPAL OPERATIONS OFFICER5858075
WEINSTOCK, JUDITH ANNCCO, DIRECTOR AND SECRETARY8096565

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.

Company Information

MMC SECURITIES LLC

CRD#: 103846

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