Mark R. Shumway
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.
Mark Ronald Shumway was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1998. Mark had worked at 3 firms and has passed the Series 79TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2019 - August 16, 2019
JARDINE LLOYD THOMPSON CAPITAL MARKETS INC
October 21, 1998 - September 27, 1999
IDS LIFE INSURANCE COMPANY
October 21, 1998 - September 27, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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 79TO
Date: 1/14/2019
Investment Banking Registered Representative ExaminationCurrent Firm
JARDINE LLOYD THOMPSON CAPITAL MARKETS INC
CRD#: 146485 / SEC#: , 8-67825
Contact information
Documents
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.
