Stephen Brent Sutter

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2010 → Present
  Lpl Financial Llc
  St. Louis, MO

Other Businesses

1. 05/26/2010 - ACT IN A FIDUCIARY CAPACITY, ONE OF THREE TRUSTEES OF THE SUTTER FAMILY INSURANCE TRUST. NO INVESTMENT ADVICE GIVEN. IT IS A GUARENTEED POILCY - 0% TIME SPENT 2. 07/14/2011 - CLAYTON INVESTMENT ADVISORS LLC - OTHER-ENTITY FOR TAX PURPOSES - LLC FOR TAX PURPOSES ONLY. 3. 07/14/2011 - CLAYTON INVESTMENT ASSOCIATES - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 4. 9/26/2013 - NO BUSINESS NAME - NOTERY - NON-COMPENSATED NOTARY FOR THE CONVENIENCE OF CLIENTS. - TIME SPENT 0% - ST. LOUIS, MO. 5. 3/3/2020 - Highland Capital, Lion Street - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 05/06/2019 - 5 Hours Per Month/2 Hours During Securities Trading.

Exams

• S63 Uniform Securities Agent State Law Examination
  1997-03-21

Designations

• Certified Financial Planner