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JU

John C. Umber

CAPITAL & ESTATE MANAGEMENT
Spring Hill, FL 34609
Some features on this profile are disabled
CRD#: 1501471
JU

Professional summary

John Charles Umber, CFP®, who also goes by Johnnie Umber, is a registered financial professional currently at CAPITAL & ESTATE MANAGEMENT, INC. located in Spring Hill, Florida.

John is registered as a RR (Registered Representative) and started their career in finance in 1986. John has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Johnnie Umber

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Charles Umber's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Current

August 2, 2011 - Present

CAPITAL & ESTATE MANAGEMENT, INC.

Office #1: 7143 Mariner Blvd., Spring Hill, FL 34609Office #2: 7143 Mariner Blvd., Spring Hill, FL 34609
BD
CRD#: 148504
Spring Hill, FL
Past

April 15, 2010 - July 26, 2011

FINANCIAL WEST GROUP

RIA
CRD#: 16668
SPRING HILL, FL
Past

March 30, 2010 - July 26, 2011

FINANCIAL WEST GROUP

BD
CRD#: 16668
SPRING HILL, FL
Past

August 20, 2004 - March 30, 2010

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
SPRING HILL, FL
Past

December 2, 2003 - March 30, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
SPRING HILL, FL
Past

January 29, 2003 - December 31, 2003

RCD FINANCIAL, INC.

BD
CRD#: 104479
BAYONET POINT, FL
Past

July 18, 1994 - February 3, 2003

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
SPRING HILL, FL
Past

May 27, 1986 - February 3, 2003

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/16/2011)
RR
Florida
(8/4/2011)
RR
Maine
(9/28/2011)
RR
Massachusetts
(5/2/2013)
RR
New York
(8/10/2011)
RR
Ohio
(8/26/2011)
RR
Texas
(9/1/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 5/30/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/24/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

C&
CAPITAL & ESTATE MANAGEMENT, INC.
CAPITAL & ESTATE MANAGEMENT, INC.

CRD#: 148504 / SEC#: , 8-68039

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
7143 Mariner Blvd., Spring Hill, FL 34609
Mailing Address
7143 Mariner Blvd., Spring Hill, FL 34609
Phone number
(813) 230-1090
Established
Florida since 01/01/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UMBER, JOHN CHARLESCEO;COO;CLO;CCO;DIR;OS;AMLCP;EXECUTIVE REPRESENTATIVE;GENERAL SECURITIES PRINCIPAL; COMPLIANCE OFFICER1501471
WORTHEM, SYLVIA JEANCFO; FINOP; GENERAL SECURITIES PRINCIPAL; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER1558280

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.

Company Information

CAPITAL & ESTATE MANAGEMENT, INC.

CRD#: 148504Spring Hill, FL 34609

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