Steven Roy Sutley

Current Employers

Employment History

• 02/2009 → Present
  Independent Financial Group
  San Diego, CA

Previous Registrations

• 2009-01-26 → 2009-02-20
  Pension Planners Securities, Inc.
  Rancho Cordova, CA
• 2008-08-13 → 2009-02-17
  Cetera Wealth Services, Llc
  Sacramento, CA
  Santa Barbara, CA
• 2001-04-19 → 2008-08-13
  Pension Planners Securities, Inc.
  Sac, CA
  Sacramento, CA

Other Businesses

(1) SUTLEY WEALTH MGMT., LLC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2017 ADDRESS: 9700 Business Park Dr, Ste 204, Sacramento CA 95827, United States DESCRIPTION: 100% owner of business entity for tax and investment purposes only. (2) S&W INVESTMENTS, LLC. POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2003 ADDRESS: 9700 Business Park Dr, Ste 204, Sacramento CA 95827, United States DESCRIPTION: 50% OWNER - S&W INVESTMENTS, LLC. REAL ESTATE HOLDING COMPANY PROVIDING PROPERTY MANAGEMENT (3) SUTLEY WERTZER, INC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2001 ADDRESS: 9700 Business Park Dr, Ste 204, Sacramento CA 95827, United States DESCRIPTION: 50% OWNER OF DBA USED FOR MARKETING SECURITIES AND ADVISORY SERVICES. (4) 1230 PARK OWNERS INC. POSITION: Board Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/25/2022 ADDRESS: 1230 Park Avenue, New York NY 10128, United States DESCRIPTION: BOARD MEMBER.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-03-14
• S63 Uniform Securities Agent State Law Examination
  1994-06-09