John M. Schrum
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 Martin Schrum was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1971. John had worked at 7 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2005 - December 31, 2014
CUTTER & COMPANY, INC.
March 15, 2004 - August 23, 2005
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
December 30, 1999 - April 14, 2004
A. G. EDWARDS & SONS, INC.
February 11, 1974 - April 14, 2004
A. G. EDWARDS & SONS, INC.
July 2, 1973 - March 28, 1974
DUPONT WALSTON, INCORPORATED
May 16, 1972 - April 23, 1976
DUPONT GLORE FORGAN INCORPORATED
September 14, 1971 - March 9, 1972
HORTON PETERS SMITH & CO
January 21, 1971 - November 1, 1971
GENERAL INVESTORS PLANNING, 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
PC
Date: 8/23/1977
AMEX Put and Call ExamSeries 1
Date: 6/26/1968
Registered Representative ExaminationCurrent Firm
CUTTER & COMPANY, INC.
CRD#: 22449 / SEC#: 801-62329, 8-39590
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,368 |
| AUM (Assets Under Management) | $ 937,030,989 |
Disclosures
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 | ||
| 12/19/2023 |
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.
