CUTTER FINANCIAL GROUP LLC of FALMOUTH, MA is an SEC-registered investment adviser (CRD 290016). Regulatory assets under management: $216.9M.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Jeffrey Thomas Cutter | MANAGING MEMBER, PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Jill Cutter | MEMBER | — |
| CUTTER JEFFREY THOMAS | MANAGING MEMBER, PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| CUTTER JILL | MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-03-17 | civil | THE SEC ALLEGES THAT CUTTER FINANCIAL GROUP AND MR. CUTTER FAILED TO ADEQUATELY DISCLOSE COMPENSATION ARRANGEMENTS AND CONFLICTS OF INTEREST RELATED TO COMMISSIONS RECEIVED FROM SELLING ANNUITIES TO ADVISORY CLIENTS AND FREE MARKETING AND OTHER BENEFITS PROVIDED BY THIRD PARTY MARKETING FIRMS AND TH… | Pending | — |