Collin L. Sumrall
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.
Collin Lee Sumrall was a registered financial professional .
Collin is a previously registered financial professional and started their career in finance in 1983. Collin had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 6, Series 27, Series 4, Series 53, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2011 - June 30, 2015
CAPE FEAR SECURITIES, INC.
August 18, 2011 - June 30, 2015
CAPE FEAR SECURITIES, INC.
January 2, 2009 - August 12, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 26, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 16, 2006 - August 12, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 5, 2004 - June 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - June 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
January 14, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 15, 1990 - February 10, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 1987 - August 15, 1990
A. G. EDWARDS & SONS, INC.
June 27, 1986 - November 18, 1987
CAROLINA SECURITIES CORPORATION
January 25, 1984 - July 10, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 1983 - January 27, 1984
PFS INVESTMENTS INC.
February 22, 1983 - September 9, 1983
WADDELL & REED
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
Series 8
Date: 11/14/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPE FEAR SECURITIES, INC.
CRD#: 156359 / SEC#: , 8-68786
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JACKSON, JOSEPH DEWEY | VICE-PRESIDENT, CCO, FINOP | 2351290 |
Red Flags
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