Brian C. Sumner
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.
Brian Cooke Sumner, CFP®, CIMA®, who also goes by Brian Cooke Sumner, Brian Sumner, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1991. Brian had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2016 - March 1, 2018
ATEL SECURITIES CORPORATION
June 10, 2014 - August 1, 2016
CALAMOS ADVISORS LLC
June 10, 2014 - August 1, 2016
CALAMOS FINANCIAL SERVICES LLC
January 11, 2012 - January 10, 2014
CURIAN CLEARING, LLC
January 5, 2012 - January 10, 2014
CURIAN CAPITAL, LLC
February 12, 2009 - March 2, 2010
WALTON SECURITIES, INC.
March 8, 2007 - December 31, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 9, 2005 - September 7, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 9, 2002 - August 12, 2008
TEACHERS PERSONAL INVESTORS SERVICES, INC.
March 27, 1999 - January 3, 2002
FIFTH THIRD SECURITIES, INC.
July 8, 1998 - March 27, 1999
FIFTH THIRD SECURITIES, INC.
October 21, 1996 - July 14, 1998
FIRST UNION CAPITAL MARKETS CORP.
February 11, 1993 - October 25, 1996
J.C. BRADFORD & CO.
June 3, 1991 - July 15, 1991
J. W. GANT & ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ATEL SECURITIES CORPORATION
CRD#: 17229 / SEC#: , 8-35271
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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