DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Carol Ann Sutterfield
Feed of 09/14/2026
Also filed as Carol Griffin
At current firm
1 y
since Jan 23, 2025
In the industry
23 y
since Aug 27, 2003 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 23, 2025 · Denver, Co
- LPL Financial LLC BD affiliatedMay 23, 2018 to Oct 20, 2023 · Westminster, Co
- Hinds Financial Group Inc independent RIAOct 29, 2013 to Aug 9, 2018 · Lakewood, Co
- Cetera Advisor Networks LLC formerOct 9, 2013 to May 30, 2018 · Westminster, Co
- Securities America Advisors, Inc. formerDec 24, 2008 to Oct 22, 2013 · Westminster, Co
- MML Investors Services, LLC BD affiliatedOct 16, 2007 to Dec 23, 2008 · Denver, Co
- Hornor, Townsend & Kent, LLC independent RIANov 6, 2006 to Oct 11, 2007 · Denver, Co
- Rmin Securities, Inc. unclassifiedFeb 17, 2004 to Oct 31, 2006 · Westminster, Co
Moves
a registration end followed by a registration begin elsewhere
- Hinds Financial Group Inc to LPL Financial LLCleft Aug 9, 2018, registered May 23, 2018 (-78 days) · RIA to RIA
- Cetera Advisor Networks LLC to Hinds Financial Group Incleft May 30, 2018, registered Oct 29, 2013 (-1674 days) · Other
- Securities America Advisors, Inc. to Cetera Advisor Networks LLCleft Oct 22, 2013, registered Oct 9, 2013 (-13 days) · Other
- MML Investors Services, LLC to Securities America Advisors, Inc.left Dec 23, 2008, registered Dec 24, 2008 (1 days) · Other
- Hornor, Townsend & Kent, LLC to MML Investors Services, LLCleft Oct 11, 2007, registered Oct 16, 2007 (5 days) · Other
- Rmin Securities, Inc. to Hornor, Townsend & Kent, LLCleft Oct 31, 2006, registered Nov 6, 2006 (6 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address