John M. Fromm
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 Mason Fromm was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 11 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 1993 - February 14, 1995
SUNPOINT SECURITIES, INC.
January 7, 1993 - May 6, 1993
H.J. MEYERS & CO., INC.
August 3, 1992 - November 18, 1992
NTB FINANCIAL CORPORATION
March 17, 1992 - July 23, 1992
ADAMS SECURITIES, INC.
January 21, 1992 - February 27, 1992
PACIFIC SOUTHERN SECURITIES, INC.
December 23, 1991 - January 13, 1992
AMERICAN FRONTEER FINANCIAL CORPORATION
June 21, 1990 - October 22, 1991
PIPER SANDLER & CO.
August 16, 1989 - June 25, 1990
ADAMS SECURITIES, INC.
September 23, 1988 - August 5, 1989
ADAMS SECURITIES, INC.
January 12, 1988 - October 25, 1988
POWER SECURITIES CORPORATION
July 28, 1986 - January 13, 1987
BOTTOM LINE BROKERS, INC.
January 18, 1986 - July 29, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
September 25, 1985 - December 5, 1985
MICHAEL C. TALLEY & CO., 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
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
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.
