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Detailed Report
ROBERT B SUTTON
BROOK SUTTON, ROBERT BROOK SUTTON
CRD#: 2417654
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 555 California Street
35Th Floor
San Francisco, CA 94104
Registration History
19952000200520102015202020252 FIRMS2004 - 2004 (<1 year)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2014 (3 years)2 FIRMS2014 - Present (10 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 2009 (15 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 2009 (11 years)
License(s)

State Registrations

B
California 6/10/2014
B
Massachusetts 6/10/2014
IA
California 6/11/2014
B
Nebraska 6/10/2014
B
Colorado 6/10/2014
B
Nevada 6/27/2014
B
Connecticut 4/27/2020
B
New York 12/9/2021
B
Florida 7/6/2022
B
Oregon 10/20/2020
B
Hawaii 4/11/2023
B
Washington 6/10/2014

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
555 California Street 35Th Floor, San Francisco, CA 94104
Registered with this firm since 6/11/2014
B
MORGAN STANLEY (CRD#:149777)
555 California Street 35Th Floor, San Francisco, CA 94104
Registered with this firm since 6/10/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/11/2011 - 06/19/2014 STERNE AGEE ASSET MANAGEMENT, INC. (CRD#:130888) SAN FRANCISCO, CA
B
 02/11/2011 - 06/19/2014 STERNE, AGEE & LEACH, INC. (CRD#:791) SAN FRANCISCO, CA
IA
 03/20/2009 - 02/14/2011 NOLLENBERGER CAPITAL PARTNERS, INC. (CRD#:119248) SAN FRANCISCO, CA
B
 03/20/2009 - 02/14/2011 NOLLENBERGER CAPITAL PARTNERS INC. (CRD#:119248) SAN FRANCISCO, CA
IA
 07/08/1997 - 03/24/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
B
 02/25/1994 - 03/24/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
IA
 08/02/2004 - 08/13/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
 08/02/2004 - 08/13/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.