George SutphenCRD Number: 1288881
Current Firm: Prudential Financial Planning Services
George Sutphen (CRD# 1288881) is an Investment Advisor Representative working at Prudential Financial Planning Services in Rosemont, IL and has over 25 years of experience in the finance industry. George Sutphen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Ellis Wealth Advisors, LLC
Waddell & Reed
|Pruco Securities, LLC||Rosemont, IL||Sep 2013 - Current||3|
|The Prudential Insurance Company Of America||Rosemont, IL||Sep 2013 - Current||3|
|Metlife Securities Inc.||Downers Grove, IL||Mar 2010 - Sep 2013||3|
|Nylife Securities LLC||Schaumburg, IL||Feb 2007 - Mar 2010||3|
|New York Life Insurance Co||Schaumburg, IL||Jan 2007 - Mar 2010||3|
|Foresters||Schaumberg, IL||Oct 2004 - Dec 2006||2|
|Foresters Equity Services||Schaumberg, IL||Oct 2004 - Dec 2006||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1991|
|S65||NASAA Investment Advisors Law Examination||Jun 2000|
Total Assets Under Management4,930MILLIONS
Total Number of Accounts42,153ACCOUNTS
Average Account Value$116,966
- 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
- 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, VI, VT, WA, WI, WV
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