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Detailed Report
CIARA LACE SUTTON
CRD#: 6411201
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 O'FALLON, MO
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2017 - 2018 (1 year)5 FIRMS2018 - 2018 (<1 year)2 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - Present (6 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2014 - 2016 (1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2015 - 2016 (1 year)
License(s)

State Registrations

B
Arkansas 11/8/2019
IA
Missouri 3/27/2019
B
Massachusetts 11/8/2019
B
Utah 11/8/2019
B
Missouri 3/27/2019

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX 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
WELLS FARGO ADVISORS (CRD#:19616)
O'FALLON, MO
Registered with this firm since 3/27/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
O'FALLON, MO
Registered with this firm since 3/27/2019
Previous Registration(s)
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IA
 09/06/2018 - 03/07/2019 EDWARD JONES (CRD#:250) ST LOUIS, MO
B
 09/06/2018 - 03/07/2019 EDWARD JONES (CRD#:250) ST LOUIS, MO
IA
 08/08/2018 - 08/22/2018 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) ST. LOUIS, MO
B
 08/08/2018 - 08/22/2018 CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358) ST. LOUIS, MO
IA
 02/27/2018 - 06/22/2018 TD AMERITRADE, INC. (CRD#:7870) ST. LOUIS, MO
IA
 02/26/2018 - 06/22/2018 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) OMAHA, NE
B
 02/26/2018 - 06/22/2018 TD AMERITRADE, INC. (CRD#:7870) ST. LOUIS, MO
IA
 06/08/2017 - 02/26/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
 02/01/2017 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) ST LOUIS, MO
IA
 01/23/2015 - 10/12/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) ST. LOUIS, MO
B
 12/23/2014 - 10/12/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) ST. LOUIS, MO
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.