Fredrick S. Brumfield
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.
Fredrick Scott Brumfield, who also goes by Fredirck Scott Brumfield, Scott Brumfield, was a registered financial professional .
Fredrick is a previously registered financial professional and started their career in finance in 1983. Fredrick had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2003 - January 7, 2019
INVESTORS ASSET MANAGEMENT OF GEORGIA INC
December 10, 2001 - December 31, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 1, 2000 - December 12, 2001
ALLEN C. EWING & CO.
January 10, 1997 - January 1, 2000
CAPITAL RESEARCH CORPORATION
June 7, 1996 - December 11, 1996
BUCKHEAD FINANCIAL CORPORATION
March 25, 1993 - July 16, 1996
WALNUT STREET SECURITIES, INC.
March 15, 1991 - December 31, 1991
WALNUT STREET SECURITIES, INC.
October 26, 1990 - March 18, 1991
IFG NETWORK SECURITIES, INC.
March 1, 1989 - November 13, 1990
INVESTORS ASSET MANAGEMENT, INC.
November 20, 1985 - September 2, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
March 31, 1983 - September 26, 1985
PFS INVESTMENTS INC.
Primary Firm SEC Registration
INVESTORS ASSET MANAGEMENT OF GEORGIA INC
CRD#: 106796 / SEC#: 801-37633
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
INVESTORS ASSET MANAGEMENT OF GEORGIA INC
CRD#: 106796 / SEC#: 801-37633
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 683 |
| AUM (Assets Under Management) | $ 401,298,696 |
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.
