Christopher A. Sumner
Professional summary
Christopher Anthony Sumner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Christopher had worked at 5 firms, which includes SCF INVESTMENT ADVISORS INC., SCF SECURITIES INC., FINANCIAL SENSE ADVISORS INC., FINANCIAL SENSE SECURITIES INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2014 - August 12, 2014
SCF INVESTMENT ADVISORS, INC.
July 11, 2014 - August 12, 2014
SCF SECURITIES, INC.
September 20, 2004 - January 3, 2014
FINANCIAL SENSE ADVISORS, INC.
August 26, 2004 - January 3, 2014
FINANCIAL SENSE SECURITIES, INC.
January 24, 2002 - August 27, 2004
MORGAN STANLEY DW INC.
July 27, 2001 - August 27, 2004
MORGAN STANLEY DW 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
SCF INVESTMENT ADVISORS, INC.
CRD#: 123608 / SEC#: 801-71206
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,190 |
| AUM (Assets Under Management) | $ 1,349,597,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 06/28/2024 |
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.
