Garrett B. Sumner
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.
Garrett Bruce Sumner Jr, who also goes by Garrett Bruce Sumner Jr, Garrett Bruce Sumner, was a registered financial professional .
Garrett is a previously registered financial professional and started their career in finance in 2015. Garrett had worked at 3 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2021 - March 26, 2026
ASHFORD SECURITIES LLC
November 7, 2019 - May 13, 2021
FIRST COMMAND BROKERAGE SERVICES, INC.
October 12, 2015 - October 3, 2018
PROVASI CAPITAL PARTNERS LP
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ASHFORD SECURITIES LLC
CRD#: 305330 / SEC#: , 8-70405
Contact information
FINRA licenses (4 States and Territories)
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.
