Thomas Allen Sutton

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-11-07
WI	RA	APPROVED	2020-07-16

TX RA
APPROVED_RES

Since 2024-11-07
WI RA
APPROVED

Since 2020-07-16

Branch Locations

15818 Railroad St, Hayward, WI 54843 • United States

5836 N 1St St., Stone Lake, WI 54876 • United States

401 W 5Th Ave., Minong, WI 54859 • United States

2820 E 2Nd St., Superior, WI 54880 • United States

219 N River St, Spooner, WI 54801 • United States

821 N Bridge St, Chippewa Falls, WI 54729 • 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

Organization	City	State	From	To
Johnson Financial Group	Racine	WI	10/2011	05/2020
Lpl Financial Llc	Spooner	WI	05/2020	Present

10/2011 → 05/2020

Johnson Financial Group

Racine, WI
05/2020 → Present

Lpl Financial Llc

Spooner, WI

Other Businesses

1. 9/8/2020 - ICAG Ins Agency - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 09/01/2020 - 10 Hours Per Month/2 Hours During Securities Trading. 2. 9/8/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 09/01/2020 - 10 Hours Per Month/2 Hours During Securities Trading. 3. 10/28/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Other - Notary public - Notary Public - Start Date - 10/11/2022 - 1 Hours Per Month/1 Hours During Securities Trading 4. 10/11/2024 - Ford Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business location(s) - Start Date 10/11/2024 - 10 Hours Per Month/ 2 Hours During Trading 5) 02/19/2025 - Sutton Financial Group Inc - Not Investment Related - Business Entity For Tax/Investment Purposes Only - At Reported Business Location(s) - Start Date:03/01/2025 - 30 Hrs/Mth - 8 Hrs During Trading. 6) 03/06/2025 - Sutton Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:03/01/2025 - 30 Hrs/Mth - 2 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-06-27

S66 Uniform Combined State Law Examination

2020-06-27

Other Names

Thomas Allen Sutton
Thomas A Sutton

View on SEC IAPD