Carl I. Fuhrmann
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.
Carl I Fuhrmann JR, who also goes by Carl Ira Fuhrmann Jr, Carl Skip Fuhrmann Jr, Carl Skip (ira) Fuhrmann Jr, Skip Fuhrmann Jr, was a registered financial advisor .
Carl is a previously registered financial advisor and started their career in finance in 1969. Carl had worked at 10 firms and has passed the Series 63, Series 5, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2013 - September 5, 2014
CARY STREET PARTNERS
November 1, 2013 - September 5, 2014
CARY STREET PARTNERS
March 8, 2006 - December 9, 2013
RIVERSTONE WEALTH MANAGEMENT, INC.
November 3, 2005 - December 9, 2013
RIVERSTONE WEALTH MANAGEMENT, INC.
February 11, 1994 - November 2, 2005
MORGAN STANLEY DW INC.
February 9, 1994 - November 2, 2005
MORGAN STANLEY DW INC.
January 2, 1991 - February 1, 1994
WELLS FARGO CLEARING SERVICES, LLC
March 27, 1989 - December 21, 1990
LEHMAN BROTHERS INC.
February 12, 1985 - April 4, 1989
THOMSON MCKINNON SECURITIES INC.
December 28, 1977 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
October 13, 1972 - January 28, 1978
ROTAN MOSLE INC.
November 25, 1969 - November 16, 1972
RUSS & CO INC
Primary Firm SEC Registration
CARY STREET PARTNERS
CRD#: 128545 / SEC#: 801-64239
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
Series 5
Date: 10/6/1981
Interest Rate Options ExaminationPC
Date: 10/2/1979
AMEX Put and Call ExamSeries 1
Date: 12/17/1965
Registered Representative ExaminationSeries 40
Date: 3/4/1978
Registered Principal ExaminationSeries 12
Date: 2/28/1978
NYSE Branch Manager ExaminationCurrent Firm
CARY STREET PARTNERS
CRD#: 128545 / SEC#: 801-64239
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 01/27/2023 |
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.
