Sarah Sutton

Managing Director

Oyster Consulting creates simplicity in a complex environment.

Sarah has 22 years of experience in the financial services industry on the revenue, operations and compliance sides of the business. Her expertise includes compliance supervision, leading firm and regulatory examinations, regional and retail branch management, brokerage and clearing operations, developing and implementing advisor best practices along with technology training, financial planning delivery and implementation, advisor and firm transition management to new firms and channels, and project management for advisor and client solutions. Prior to joining Oyster Sarah was Director of Investment Services at First Horizon Advisors, Inc., where she led the Wealth Services division that handled all brokerage operations and advisor support, including managing all branch activity.


  • Outsourced CCO for Registered Investment Advisor and Broker-Dealer
  • Email and Trade review
  • Client Compliance resolution
  • AML Program Development and Testing
  • Developing Business Plans for small account solutions, for firms implementing account minimum requirements for their advisors
  • Options Principal and Options Trade review
  • Updating and testing Written Supervisory Procedures
  • Expert Witness
  • Merger and Acquisition Planning
  • Developing Client Experience Roadmap for service
  • Developing roles and responsibilities for advisors’ practices
  • Investment Management
  • Implementing strategic advisor adoption of Financial Planning, including plan creation, training and developing policies and procedures and delivery of financial plans to clients using available technology
  • Developing and maintaining annual compliance review schedule
  • Performing annual compliance audits and annual compliance meetings
  • Performing branch audits and responding to regulatory inquiries
  • Advising firms on vendor negotiations and contract renewals
  • Working with clients to establish a CRM platform and strategy
  • AML onboarding review of new clients

Career Highlights

  • Director of Investment Services and Training, First Horizon Advisors
  • Branch Manager and Financial Advisor, Raymond James
  • Regional Manager- Advisor Transition Management, Client Services and Branch Services, Raymond James
  • Senior Vice President, Practice Management, Morgan Keegan


  • Art and Science of Compliance in 2023 Docupace Webinar Series, January 31, 2023