Charles SuttonCRD Number: 6018518
Current Firm: Securian Financial Services, Inc.
Charles Sutton (CRD# 6018518) is an Investment Advisor Representative working at Securian Financial Services, Inc. in Omaha, NE and has over 5 years of experience in the finance industry.
Cambridge Investment Research Advisors, Inc.
Wells Fargo Advisors, LLC
Mutual Of Omaha Investor Services, Inc.
|Renaissance Financial||Omaha, NE||Jan 2012 - Current||5|
|Securian Financial Services Inc.||St. Paul, MN||Jan 2012 - Current||5|
|Minnesota Life||St. Paul, MN||Jan 2012 - Current||5|
|Securian Financial Services Inc.||St. Paul, MN||Jan 2012 - Jan 2012||< 1|
|Stream Realty||Dallas, TX||Jul 2008 - Dec 2011||3|
|Jackson & Cooksey||Dallas, TX||Aug 2003 - Jul 2008||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 2012|
|S66||NASAA Uniform Combined State Law Examination||Oct 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management6,627MILLIONS
Total Number of Accounts29,442ACCOUNTS
Average Account Value$225,095
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV