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Carol Ann Sutterfield

LPl Financial LLC

Denver, CO

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-01-23
  • CO RA
    APPROVED
    Since 2025-01-23

Branch Locations

4100 E Mississippi Ave Ste 800, Denver, CO 80246 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisor Networks Llc El Segundo CA 10/2013 05/2018
Hinds Financial Group Inc Lakewood CO 10/2013 05/2018
Lpl Financial Westminster CO 05/2018 10/2023
Unemployed Thornton CO 10/2023 04/2024
Lpl Financial Denver CO 04/2024 Present
  • 10/2013 → 05/2018
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 10/2013 → 05/2018
    Hinds Financial Group Inc
    Lakewood, CO
  • 05/2018 → 10/2023
    Lpl Financial
    Westminster, CO
  • 10/2023 → 04/2024
    Unemployed
    Thornton, CO
  • 04/2024 → Present
    Lpl Financial
    Denver, CO
Previous Registrations
  • 2018-05-23 → 2023-10-20
    Lpl Financial Llc
    Westminster, CO
    Westminster, CO
    Iowa City, IA
  • 2013-10-29 → 2018-08-09
    Hinds Financial Group Inc
    Lakewood, CO
  • 2013-10-09 → 2018-05-30
    Cetera Wealth Services, Llc
    Westminster, CO
    Golden, CO
    Westminster, CO
  • 2008-12-24 → 2013-10-22
    Securities America Advisors, Inc.
    Westminster, CO
    Golden, CO
  • 2007-10-16 → 2008-12-23
    Mml Investors Services, Llc
    Denver, CO
  • 2006-11-06 → 2007-10-11
    Hornor, Townsend & Kent, Llc
    Denver, CO
  • 2004-02-17 → 2006-10-31
    Rmin Securities, Inc.
    Westminster, CO
    Denver, CO
Other Businesses

1)01/16/2025 - Elevate Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-10-29
S65 Uniform Investment Adviser Law Examination 2003-08-27
  • S63 Uniform Securities Agent State Law Examination
    2013-10-29
  • S65 Uniform Investment Adviser Law Examination
    2003-08-27
Other Names
  • Carol Griffin
  • Carol Ann Griffin
  • Carol A Sutterfield
  • Carol Ann Hall

View on SEC IAPD

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TANISHA MARIE SIMON
BRET ALLEN ROBERTS
NICHOLAS MICHAEL YIP

Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO

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