Preston V. Pumphrey
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.
Preston Vanvorhees Pumphrey, who also goes by Preston Pumphrey, was a registered financial professional .
Preston is a previously registered financial professional and started their career in finance in 1966. Preston had worked at 4 firms and has passed the Series 63, Series 55, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 1979 - December 31, 2013
C. E. GAYE & SONS SECURITIES LTD.
January 15, 1976 - April 19, 1979
JAMES J. DUANE & CO., INC.
December 7, 1973 - February 28, 1976
RANDOLPH SCOTT OF AMITYVILLE, INC.
July 8, 1966 - December 27, 1973
PRESTON PUMPHREY & CO 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
Series 55
Date: 3/30/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 7/23/1959
Registered Representative ExaminationF04
Date: 2/8/1979
Financial Principal ExaminationSeries 00
Date: 6/17/1966
General Securities Principal ExaminationCurrent Firm
C. E. GAYE & SONS SECURITIES LTD.
CRD#: 2394 / SEC#: , 8-23742
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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