Michael SutherlandCRD Number: 1935857
Current Firm: Lpl Financial LLC
Michael Sutherland (CRD# 1935857) is an Investment Advisor Representative working at Lpl Financial LLC in Salt Lake City, UT and has over 28 years of experience in the finance industry.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Lpl Financial, LLC||Salt Lake City, UT||Dec 2003 - Current||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1989|
|S65||NASAA Investment Advisors Law Examination||May 1992|
|S66||NASAA Uniform Combined State Law Examination||Jun 2005|
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 Management112,086MILLIONS
Total Number of Accounts531,091ACCOUNTS
Average Account Value$211,049
- 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