John O. Sommer
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 Otto Sommer was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2013 - January 19, 2022
J. W. COLE ADVISORS, INC.
May 10, 2013 - December 31, 2021
J.W. COLE FINANCIAL, INC.
April 2, 2009 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
March 30, 2009 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
April 2, 2007 - March 31, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - March 31, 2009
MORGAN STANLEY & CO. LLC
February 8, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
November 20, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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