Brett F. Sumsion
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.
Brett Ford Sumsion, who also goes by Brett Sumsion, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1994. Brett had worked at 7 firms and has passed the Series 63, Series 66, Series 65, Series 7, Series 6 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
March 31, 2009 - December 23, 2013
DUPONT CAPITAL MANAGEMENT MARKETING CORPORATION
January 2, 2004 - May 13, 2005
BRECEK & YOUNG ADVISORS, INC.
April 9, 2002 - December 31, 2003
GUGGENHEIM DISTRIBUTORS, LLC
March 2, 2000 - April 5, 2002
FREEDOM FINANCIAL, INC.
April 29, 1998 - April 20, 1999
SECURITIES SERVICE NETWORK, LLC
March 9, 1998 - May 2, 2005
STRATEGIS FINANCIAL GROUP, INC
August 22, 1994 - May 1, 1995
SECURITIES AMERICA, 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
DUPONT CAPITAL MANAGEMENT MARKETING CORPORATION
CRD#: 144899 / SEC#: , 8-67681
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUPONT CAPITAL MANAGMENT CORPORATION | SHAREHOLDER | |
| FLORES, WILLIAM | CHIEF COMPLIANCE OFFICER | 4500780 |
| LEA SHARPE, LORIANN | SECRETARY | 6603444 |
| MACEDO, JOHN RAPOZA III | FINANCIAL AND OPERATIONAL PRINCIPAL/ CFO | 5440405 |
| SILL, VALERIE JEAN | DIRECTOR | 4788445 |
| SWEENEY, TIMOTHY RICHARD | PRESIDENT AND DIRECTOR | 2279763 |
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.
