Sunny Kurman
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.
Sunny Kurman, who also goes by Sunshine Kurman, VIcki Ellyn Kurman, was a registered financial professional .
Sunny is a previously registered financial professional and started their career in finance in 1980. Sunny had worked at 5 firms and has passed the Series 63, Series 7 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
December 2, 2004 - March 26, 2012
CAPITAL BROKERAGE CORPORATION
February 1, 2000 - January 4, 2003
CAPITAL BROKERAGE CORPORATION
May 21, 1990 - January 19, 2000
VERAVEST INVESTMENTS, INC.
October 23, 1986 - May 23, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 18, 1985 - April 23, 1990
GREEN HILL FINANCIAL SERVICE CORPORATION
June 4, 1980 - October 28, 1985
SIGNATOR INVESTORS, INC.
June 4, 1980 - May 23, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
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 1
Date: 5/15/1980
Registered Representative ExaminationCurrent Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
