JS
James W. Sumner
ASHTON THOMAS PRIVATE WEALTH
PORTLAND, OR 97225
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CRD#: 5496681
JS
Professional summary
James W Sumner is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Portland, Oregon.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. James has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) DIRECTOR -WESTERN GOLF ASSOC. GENERAL BOARD ACTIVITIES AND ENGAGEMENT THROUGH THE PORTLAND GOLF CLUB CADDIE PROGRAM, 1 HR WK, NO SECURITIES CLIENTS, ACTIVITIES OR ADVICE, NO FIDUCIARY RESPONSIBILITY. 2) DIRECTOR -MULTNOMAH ATHLETIC FOUNDATION, GENERAL BOARD ACTIVITIES AND ENGAGEMENT THROUGH THE COMMUNITY GRANT COMMITTEE, 3 HR WK, NO SECURITIES CLIENTS, ACTIVITIES OR ADVICE, NO FIDUCIARY RESPONSIBILITY.
CRS (Client Relationship Summary) - RIA
Click below to view James W Sumner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 23, 2022 - Present
ASHTON THOMAS PRIVATE WEALTH
Office #1: 4802 #b Sw Scholls Ferry Road, Portland, OR 97225RIA
CRD#: 153902
PORTLAND, OR
Past
September 29, 2021 - November 21, 2022
FORTITUDE ADVISORY GROUP L.L.C.
RIA
CRD#: 116083
Portland, OR
Past
April 26, 2019 - May 4, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
PORTLAND, OR
Past
April 13, 2015 - June 6, 2017
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
PORTLAND, OR
Past
April 2, 2008 - April 13, 2015
PACIFIC CREST SECURITIES LLC
BD
CRD#: 6619
PORTLAND, OR
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(12/13/2022)
IAR
Florida(12/4/2022)
IAR
Oregon(11/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 732-4745
Established
Firm type
Fiscal year end
# of Employees
114
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,733 |
| AUM (Assets Under Management) | $ 4,051,333,740 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
