DS
Dean Sumer
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CRD#: 1944123
DS
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.
Dean Sumer, who also goes by Derya Sumer, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1989. Dean had worked at 9 firms and has passed the Series 66, Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Derya Sumer
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.
1)GREENBOX REALTY 29138 Pacific Coast Hwy, 111 Malibu CA 90265-3916 Nature of Business: GREENBOX REALTY, dba GREENBOX MORTGAGE, dba GREENBOX PROCESSING - NOT INVESTMENT SERVICES RELATED. 29138 PACIFIC COAST HWY 111, MALIBU CA 90265-3916. NATURE OF BUSINESS: REAL ESTATE SALES, LISTINGS, MORTGAGE LOAN ORIGINATION, MORTGAGE LOAN PROCESSING SERVICE. 100% OWNER. POSITION: PRESIDENT, MANAGING DIRECTOR, REALTOR. START DATE: 10/25/2011. 20 HRS/MO OUTSIDE OF TRADING HRS. COMPENSATED BY FEES AND COMMISSIONS. DUTIES: SALES, LOAN PROCESSING. This OBA is not Investment Related PRESIDENT, MANAGING DIRECTOR, REALTOR Business Duties: GREENBOX REALTY, dba GREENBOX MORTGAGE, dba GREENBOX PROCESSING - NOT INVESTMENT SERVICES RELATED. 29138 PACIFIC COAST HWY 111, MALIBU CA 90265-3916. NATURE OF BUSINESS: REAL ESTATE SALES, LISTINGS, MORTGAGE LOAN ORIGINATION, MORTGAGE LOAN PROCESSING SERVICE. 100% OWNER. POSITION: PRESIDENT, MANAGING DIRECTOR, REALTOR. START DATE: 10/25/2011. 20 HRS/MO OUTSIDE OF TRADING HRS. COMPENSATED BY FEES AND COMMISSIONS. DUTIES: SALES, LOAN PROCESSING. Start Date: 10/25/2011 Approximately 20 hours spent on this OBA, with zero during market hours. 2) LOAN WAREHOUSE NATURE OF BUSINESS: LOAN WAREHOUSE - NOT INVESTMENT SERVICES RELATED. 183 MONTGOMERY AVE 2ND FLOOR, OXNARD, CA 93036-1007. NATURE OF BUSINESS: MORTGAGE BROKERAGE COMPANY IN CALIFORNIA. 100% OWNER. POSITION: PRESIDENT, CEO. STARTED 01/23/2019. 140 HRS/MO OF WHICH 60 HRS/MO ARE DURING TRADING HRS TO THIS ACTIVITY. COMPENSATED BY FEES AND COMMISSIONS. DUTIES: LEADERSHIP POSITION - BUSINESS EXPANSION, LOAN ORIGINATION, LOAN ORIGINATOR SUPERVISION. THIS IS NOT INVESTMENT RELATED. PRESIDENT, CEO DUTIES: LOAN WAREHOUSE - NOT INVESTMENT SERVICES RELATED. 183 MONTGOMERY AVE 2ND FLOOR, OXNARD, CA 93036-1007. NATURE OF BUSINESS: MORTGAGE BROKERAGE COMPANY IN CALIFORNIA. 100% OWNER. POSITION: PRESIDENT, CEO. STARTED 01/23/2019. 140 HRS/MO OF WHICH 60 HRS/MO ARE DURING TRADING HRS TO THIS ACTIVITY. COMPENSATED BY FEES AND COMMISSIONS. DUTIES: LEADERSHIP POSITION - BUSINESS EXPANSION, LOAN ORIGINATION, LOAN ORIGINATOR SUPERVISION. START DATE: 01/23/2019 APPROXIMATELY 140 HOURS DEVOTED TO THIS OBA, WITH 60 DURING MARKET HOURS.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
December 6, 2019 - September 15, 2023
STONEX ADVISORS INC.
RIA
CRD#: 174182
BIRMINGHAM, AL
Past
December 6, 2019 - September 15, 2023
STONEX SECURITIES INC.
BD
CRD#: 18456
OXNARD, CA
Past
April 9, 2018 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
MALIBU, CA
Past
April 7, 2018 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
February 27, 2018 - April 5, 2018
TD AMERITRADE, INC.
RIA
CRD#: 7870
CARMICHAEL, CA
Past
February 26, 2018 - April 5, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
OMAHA, NE
Past
February 26, 2018 - April 5, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
CARMICHAEL, CA
Past
May 31, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
June 9, 2016 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
ROSEVILLE, CA
Past
September 8, 2015 - May 19, 2016
TD AMERITRADE, INC.
BD
CRD#: 7870
SAN DIEGO, CA
Past
January 8, 1992 - October 15, 1997
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
June 20, 1989 - February 8, 1990
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
233
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,988 |
| AUM (Assets Under Management) | $ 4,515,278,523 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/27/2025 | ||
| 02/27/2024 | ||
| 01/20/2023 |
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.
