DS
Dean Sumer
Some features on this profile are disabled
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.
The advisor shows no other business activity.
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 | WINKLER HIZNAY & ASSOCIATES | WILLOWBY ADVISORS | WILLIAMS WEALTH MANAGEMENT | WEINBERG WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TGI WEALTH MANAGEMENT | 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 | STEVEN SMITH FINANCIAL | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SI FINANCIAL ADVISORS | SA STONE INVESTMENT ADVISORS INC. | SA STONE INVESTMENT ADVISORS | ROSENTHAL FINANCIAL SERVICES, LLC | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RJ TINE ASSOCIATES LLC | RJ INVESTMENT SOLUTIONS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUIRK INVESTMENTS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | PARAMOUNT WEALTH MANAGEMENT LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NOVECK AND NOVECK, LLC | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MORRIS SMITH WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LG INVESTMENT SOLUTIONS, LLC | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KLEMME FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | JUDSON SMITH WEALTH MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | INTEGRA FINANCIAL | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | HDA WEALTH MANAGEMENT LLC | HARADER FINANCIAL MANAGEMENT GROUP, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GLS FINANCIAL CONSULTANTS, INC. | GEORGE STRATEGIC WEALTH | EMARK FINANCIAL | 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 | CAPITAL PLANNING ASSOCIATES | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BLOOMING GLEN FINANCIAL | BAXTER ASSOCIATES, LLC | BARNEGAT FINANCIAL | BARKO FINANCIAL | AXIENT INVESTMENT ADVISORS, LLC | ATLAS PRIVATE WEALTH PARTNERS | AIM FINANCIAL FREEDOM | 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 | WINKLER HIZNAY & ASSOCIATES | WILLOWBY ADVISORS | WILLIAMS WEALTH MANAGEMENT | WEINBERG WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TGI WEALTH MANAGEMENT | 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 | STEVEN SMITH FINANCIAL | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SI FINANCIAL ADVISORS | SA STONE INVESTMENT ADVISORS INC. | SA STONE INVESTMENT ADVISORS | ROSENTHAL FINANCIAL SERVICES, LLC | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RJ TINE ASSOCIATES LLC | RJ INVESTMENT SOLUTIONS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUIRK INVESTMENTS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | PARAMOUNT WEALTH MANAGEMENT LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NOVECK AND NOVECK, LLC | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MORRIS SMITH WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LG INVESTMENT SOLUTIONS, LLC | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KLEMME FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | JUDSON SMITH WEALTH MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | INTEGRA FINANCIAL | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | HDA WEALTH MANAGEMENT LLC | HARADER FINANCIAL MANAGEMENT GROUP, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GLS FINANCIAL CONSULTANTS, INC. | GEORGE STRATEGIC WEALTH | EMARK FINANCIAL | 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 | CAPITAL PLANNING ASSOCIATES | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BLOOMING GLEN FINANCIAL | BAXTER ASSOCIATES, LLC | BARNEGAT FINANCIAL | BARKO FINANCIAL | AXIENT INVESTMENT ADVISORS, LLC | ATLAS PRIVATE WEALTH PARTNERS | AIM FINANCIAL FREEDOM | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
220
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 15,487 |
| AUM (Assets Under Management) | $ 5,092,884,780 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 03/27/2025 | ||
| 02/27/2024 |
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.
