Richard H. Suttmeier
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 Henry Suttmeier was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 8 firms and has passed the Series 65, SIE, Series 5, Series 7, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2009 - June 15, 2015
SGMA CAPITAL MARKETS LIMITED
July 30, 1999 - May 1, 2008
JOSEPH STEVENS & CO., INC.
May 27, 1997 - August 17, 1999
WILLIAM R. HOUGH & CO.
October 18, 1991 - January 16, 1996
CITIGROUP GLOBAL MARKETS INC.
July 28, 1989 - July 27, 1990
TUCKER ANTHONY INCORPORATED
April 30, 1981 - January 31, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
August 17, 1978 - May 30, 1981
PRUDENTIAL EQUITY GROUP, LLC
March 1, 1978 - September 15, 1978
LOEB PARTNERS
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 5
Date: 9/29/1982
Interest Rate Options ExaminationSeries 12
Date: 3/26/1982
NYSE Branch Manager ExaminationCurrent Firm
SGMA CAPITAL MARKETS LIMITED
CRD#: 135327 / SEC#: , 8-66911
Contact information
FINRA licenses (7 States and Territories)
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.
