John H. Rumsey

AQUILO PARTNERS, L.P.

San Francisco, CA 94108

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CRD#: 2017165

Professional summary

John Hanna Rumsey is a registered financial professional currently at AQUILO PARTNERS, L.P. located in San Francisco, California.

John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

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

None

Experience

Current

January 24, 2002 - Present

AQUILO PARTNERS, L.P.

Office #1: 601 California Street, Suite 500, San Francisco, CA 94108Office #2: 601 California Street, Suite 500, San Francisco, CA 94108

CRD#: 114909

San Francisco, CA

Past

June 29, 2010 - June 18, 2014

AQUILO CAPITAL MANAGEMENT, LLC

RIA

CRD#: 153022

SAN FRANCISCO, CA

Past

February 1, 2000 - February 6, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

April 7, 1995 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

March 18, 1994 - October 26, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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

Alabama
(3/11/2008)

California
(1/28/2002)

Colorado
(2/29/2008)

Connecticut
(3/28/2008)

Delaware
(11/26/2008)

District of Columbia
(11/14/2008)

Florida
(1/9/2009)

Georgia
(9/26/2008)

Illinois
(3/5/2008)

Indiana
(3/24/2008)

Maryland
(3/4/2008)

Massachusetts
(3/3/2008)

Michigan
(1/2/2009)

Minnesota
(9/22/2008)

Missouri
(11/19/2008)

New Jersey
(3/25/2008)

New York
(9/11/2003)

North Carolina
(9/22/2008)

Ohio
(11/29/2006)

Pennsylvania
(3/7/2008)

Texas
(3/26/2007)

Utah
(9/22/2008)

Virginia
(9/22/2008)

Washington
(9/22/2008)

Wisconsin
(1/2/2009)

Exams

State Security Law Exam

Series 63

Date: 1/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/7/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AQUILO PARTNERS, L.P.

AQUILO PARTNERS, INC. | BIOADVISORS, INC. | AQUILO PARTNERS, L.P.

CRD#: 114909 / SEC#: , 8-53441

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

601 California Street, Suite 500, San Francisco, CA 94108

Mailing Address

601 California Street, Suite 500, San Francisco, CA 94108

Phone number

(415) 677-0999

Established

California since 12/12/2008

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DYER, JOHN KNOWLES II	LIMITED PARTNER	4179051
METZGER, DAVID JAMES	LIMITED PARTNER	4649486
RUMSEY, JOHN HANNA	CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER	2017165
ZANZE, JAMES FAGAN	PRESIDENT/CHIEF COMPLIANCE OFFICER	2276354
POSTREL, HELENE BERSON	FINOP	2240945

Red Flags

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Firm Stability Insights

John H. Rumsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Hanna Rumsey's CRS (Customer Relationship Summary).

Certified licenses

Experience

AQUILO CAPITAL MANAGEMENT, LLC

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/30/2001

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1994

Series 24

Date: 1/7/2002

FINRA

Current Firm

AQUILO PARTNERS, L.P.

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

AQUILO PARTNERS, L.P.

TRUST BUT VERIFY

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