Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Brent Sutton is a financial advisor with Morgan Stanley. William Brent Sutton has been in the industry since December 2002. William Brent Sutton is registered with both FINRA and the SEC. William Brent Sutton has been registered in 28 states and is a registered investment advisor in New Mexico and Texas. William Brent Sutton's current registration in Texas is with Morgan Stanley and in New Mexico with Wells Fargo Advisors LLC. William Brent Sutton is also a registered investment advisor representative for Morgan Stanley. William Brent Sutton's previous employers included Wells Fargo Clearing Services, LLC, Wells Fargo Investments, LLC, Stanford Group Company, and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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)
NM
01/03/2011 - 07/27/2017
WELLS FARGO CLEARING SERVICES, LLC (RUIDOSO NM)
TX
04/06/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (HOUSTON TX)
TX
11/13/2008 - 03/30/2009
STANFORD GROUP COMPANY (HOUSTON TX)
TX
11/26/2002 - 11/18/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
IA
Issued 07/29/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/17/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/2002
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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