John R. Hummel
Professional summary
John Robert Hummel is a registered financial advisor currently at AIS CAPITAL MANAGEMENT L.P. located in Naples, Florida.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. John has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 18 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Robert Hummel's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 1993 - Present
AIS CAPITAL MANAGEMENT L.P.
Office #2: 187 Danbury Road, Wilton, CT 06897May 31, 1990 - April 23, 1993
FINANCIAL SQUARE PARTNERS
January 24, 1977 - June 30, 1987
UBS ASSET MANAGEMENT (US) INC.
June 22, 1976 - March 1, 1977
REYNOLDS SECURITIES, INC.
Primary Firm SEC Registration
AIS CAPITAL MANAGEMENT L.P.
CRD#: 107971 / SEC#: 801-43295
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/8/1993)
(7/7/2022)
Exams
Series 18
Date: 6/18/1976
Securities Industry Rules and Regulations ExaminationCurrent Firm
AIS CAPITAL MANAGEMENT L.P.
CRD#: 107971 / SEC#: 801-43295
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 44 |
| AUM (Assets Under Management) | $ 183,200,897 |
Red Flags
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