Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paula? Claim Your ProfilePaula Sutton is a financial advisor with over 40 years of experience in the industry. Paula is currently registered with Morgan Stanley and has been with the firm since 2017. Prior to that, Paula was a financial advisor with Wells Fargo Clearing Services, LLC for six years and before that, was with Wells Fargo Investments, LLC, Stanford Group Company and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Paula is a highly experienced and qualified financial advisor with a strong commitment to providing her clients with personalized service and financial guidance. Paula holds a number of securities licenses including Series 3, 4, 7, 9, 10, 12, 24, 52, 53, 63 and 65 and has extensive experience in a variety of financial markets. Paula is also a member of the Advisory Board and a Board Member for Career and Recovery Resources and is the Chair of the Board for Interfaith Ministries of Greater Houston.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
07/20/2017 - Present
WEALTHPENN.COMLLC (Houston TX)
TX
01/03/2011 - 07/27/2017
WELLS FARGO CLEARING SERVICES, LLC (HOUSTON TX)
TX
04/03/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (HOUSTON TX)
TX
11/13/2008 - 03/26/2009
STANFORD GROUP COMPANY (HOUSTON TX)
TX
11/27/1978 - 11/18/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
IA
Issued 1/18/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/20/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/27/1983
Series 53 - Municipal Securities Principal Examination
BC
Issued 5/23/1983
Series 4 - Registered Options Principal Examination
BC
Issued 4/2/1983
Series 24 - General Securities Principal Examination
BC
Issued 11/20/1982
Series 12 - NYSE Branch Manager Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/7/1982
Series 3 - National Commodity Futures Examination
BC
Issued 11/18/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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