Jeffrey J. Sturm
Professional summary
Jeffrey James Sturm is a registered financial professional currently at CFD INVESTMENTS, INC. located in Dandridge, Tennessee.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1989. Jeffrey has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey James Sturm's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2023 - Present
CFD INVESTMENTS, INC.
March 8, 2021 - December 31, 2022
NTB FINANCIAL CORPORATION
June 17, 2010 - April 13, 2021
WILLIAM C. BURNSIDE & COMPANY, INC.
January 10, 1989 - June 25, 2009
THRIVENT INVESTMENT MANAGEMENT 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
(1/20/2023)
(1/10/2023)
(1/3/2023)
Exams
FINRA
Current Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
Red Flags
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