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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Howard Sutton is an investment advisor representative with RBC Capital Markets, LLC. John has been in the securities industry since August 21, 1997. John is registered in 40 states and has Series 7, 9, 10, 31, 63 and 65 licenses. John has previously been registered with Tucker Anthony Incorporated and First Union Capital Markets Corp. John specializes in serving individuals, high net worth individuals, corporations or other businesses, investment companies, banking or thrift institutions, pension and profit-sharing plans, state or municipal government entities, charitable organizations and pooled investment vehicles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
MD
10/13/2005 - Present
RBC Capital Markets, LLC (Bel Air MD)
MA
06/07/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NC
08/22/1997 - 07/02/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
IA
Issued 04/17/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/13/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/03/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 08/21/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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