John L. Pumphrey
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 Lafayette Pumphrey III, who also goes by Trip Pumphrey III, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2019 - December 12, 2019
R.M. DUNCAN SECURITIES, INC.
January 15, 2004 - November 28, 2018
CREWS & ASSOCIATES, INC.
February 10, 1998 - January 12, 2004
AMUNI FINANCIAL, INC.
July 8, 1993 - January 14, 1998
CALTON & ASSOCIATES, INC.
August 14, 1991 - June 9, 1993
FIRST AMERICAN SECURITIES, INC.
November 27, 1989 - January 12, 1990
SWINK & COMPANY, 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
R.M. DUNCAN SECURITIES, INC.
CRD#: 14344 / SEC#: , 8-30534
Contact information
FINRA licenses (19 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
