Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paula? Claim Your ProfilePaula Sue Sutton is a financial advisor in Houston, Texas and has been in the industry for over 40 years. She currently works for Morgan Stanley and holds several licenses, including Series 3, 7, 9, 10, 12, 24, 52, 53, 63, and 65. Paula has previously held positions at Wells Fargo Clearing Services, LLC, Wells Fargo Investments, LLC, Stanford Group Company and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Paula has a strong track record of providing financial advice to a variety of clients, including individuals, families, businesses, and institutions. She is passionate about helping her clients achieve their financial goals and believes that education is key to making sound financial decisions. Paula is a Registered Representative and Investment Advisor Representative.
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
Morgan Stanley (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 01/18/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/27/1983
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/23/1983
Series 4 - Registered Options Principal Examination
BC
Issued 04/02/1983
Series 24 - General Securities Principal Examination
BC
Issued 11/20/1982
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/1982
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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