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Detailed Report
JAY STEVEN SUTHERLAND
CRD#: 1218484
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20022004200620082010201220142016IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2015 - 2015 (<1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2008 - 2015 (6 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - 2008 (6 years)
Disclosure(s)
View By:
9/26/2016
Regulatory
Final
9/26/2016
Regulatory
Final
1/21/2015
Employment Separation After Allegations
Previous Registration(s)
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 02/13/2015 - 06/09/2015 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MELBOURNE, FL
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 11/13/2008 - 02/17/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) MELBOURNE, FL
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 12/07/2001 - 11/17/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) MELBOURNE, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.