James Sutton has been an investment adviser representative at Echo45 Advisors since August 2020, and is not listed among the firm’s executive officers or direct owners. James Sutton holds a BS in Economics.
Echo45 Advisors LLC is a Walnut Creek, CA firm with $227M under management, 201 clients and 4 advisers in one office, as of its September 2026 filing.
James Sutton is Director of Portfolio Management & Technology of Echo45 Advisors. Sutton has worked as a financial planning associate at Lenox Advisors and as an investments analyst with the Rand Group at Merrill Lynch. He has more than 15 years of experience in wealth management, portfolio construction and financial planning, in addition to education, insurance and estate planning.
James Sutton’s longest registration is the current one, 6 years at Echo45 Advisors since 2020. Before joining Echo45 Advisors in 2020, James Sutton was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley.
- Echo45 Advisors LLCCurrent– present · 6 yearsWalnut Creek, CA · Adviser representative · Firm CRD 307265
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 3 yearsSan Francisco, CA · Adviser representative · Firm CRD 7691
- Morgan Stanley– · 1 yearSan Francisco, CA · Adviser representative · Firm CRD 149777
Professional designations
Listed by Echo45 Advisors
- AWMA®
- CBDA
Investment adviser representative registrations
James Sutton is registered as an investment adviser representative in California, since August 2020.
- CaliforniaSince 28 August 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 19 March 2024 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 23 December 2013 |
| Series 7 | General Securities Representative Examination | 2 August 2013 |
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Matthew Sutton
- CRD
- 5654862
- Firm
- Echo45 Advisors · CRD 307265
- Office
- 1802 TICE VALLEY BLVD, Walnut Creek, CA 94595
- Registration
- Investment adviser registration
- In the industry since
- October 2013
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- echo45advisors.com
Where does James Sutton work?
James Sutton is an investment adviser representative registered through Echo45 Advisors LLC since August 2020, and is not listed among the firm’s executive officers or direct owners.
Is James Sutton a financial advisor?
Yes. James Sutton has a current investment-adviser registration in California, through Echo45 Advisors since August 2020.
How many years of experience does James Sutton have?
James Sutton has 13 years in the financial industry, since October 2013, across 3 adviser firms.
What exams has James Sutton passed?
James Sutton has passed 3 licensing exams: the Series 7, Series 66 and Series 7TO. The earliest, the Series 7, was passed in August 2013. FINRA credited James Sutton with the SIE, which began in October 2018.
Where did James Sutton work before Echo45 Advisors?
Before Echo45 Advisors, James Sutton was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, May 2017 to August 2020; Morgan Stanley, September 2015 to April 2017.
Where is James Sutton based?
James Sutton’s registered office is in Walnut Creek, CA.
Is James Sutton registered with FINRA?
No. James Sutton has no current broker registration.
How can I verify James Sutton’s record?
Search CRD 5654862 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Sutton’s full registration record.
- David ReichertChief Compliance Officer
Jon HendersonFounder and Chief Investment Officer