John T. Sumner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Thomas Sumner JR, who also goes by John Thomas Jr Sumner, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 2 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 1990 - January 10, 1994
SUMNER,WARREN & COMPANY, INC.
October 21, 1989 - January 5, 1990
MADISON CAPITAL CORP.
September 26, 1989 - January 5, 1990
MADISON CAPITAL CORP.
January 24, 1989 - December 19, 1989
SUMNER,WARREN & COMPANY, INC.
February 8, 1983 - January 23, 1989
MADISON CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SUMNER,WARREN & COMPANY, INC.
CRD#: 22454 / SEC#: , 8-39754
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
