Anna M. Rumsey
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.
Anna Marie Rumsey was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 1989. Anna had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1995 - May 22, 2002
SOUTHERN FINANCIAL GROUP, INC.
September 13, 1990 - January 1, 1995
BROKERS EXCHANGE, INC.
February 14, 1989 - August 23, 1990
SOUTHERN FINANCIAL GROUP, INC.
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
SOUTHERN FINANCIAL GROUP, INC.
CRD#: 16714 / SEC#: , 8-34534
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ATLANTIC SECURITIES EXCHANGE, INC. | OWNERSHIP | |
| BANK, FRANK TOM | EXECUTIVE VICE PRESIDENT/MUNICIPAL PRINCIPAL | 500594 |
| COLLINS, CLELLAND DAVID JR | SECRETARY, EXC. VICE PRES. | 2331596 |
| MAURER, MARK HENRY | EXECUTIVE VICE PRESIDENT/OPERATIONS/DIRECTOR OF COMPLIANCE/ SROP/CROP | 1496683 |
| WOOTEN, RICHARD MCNAIR | CHAIRMAN/CFO, PRESIDENT/CEO |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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