John Stumpf
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 Stumpf, who also goes by John W Stumpf, John Walter Stumpf, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2025 - July 22, 2026
STRATEGIC ADVISERS LLC
May 7, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 28, 2021 - July 22, 2026
FIDELITY BROKERAGE SERVICES LLC
May 22, 2017 - March 19, 2021
OSAIC SERVICES, INC.
May 18, 2017 - March 19, 2021
OSAIC SERVICES, INC.
March 28, 2016 - May 23, 2017
PURE FINANCIAL ADVISORS, LLC
February 18, 2014 - March 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 2014 - March 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2006 - September 9, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 25, 2003 - September 9, 2013
TD AMERITRADE, INC.
September 14, 1992 - September 9, 2013
TD AMERITRADE, INC.
July 24, 1992 - August 18, 1992
JOSEPH CARL SECURITIES, INC.
June 15, 1992 - July 23, 1992
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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 8
Date: 7/21/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
