John R. Brummett
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.
John Russell Brummett, who also goes by John Russel Brummett, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 12 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2015 - September 2, 2016
CAPE SECURITIES INC.
August 7, 2006 - May 20, 2013
QUASAR DISTRIBUTORS, LLC
August 31, 1995 - December 15, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
December 16, 1994 - August 17, 1995
MFS FUND DISTRIBUTORS, INC.
July 12, 1994 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
September 11, 1991 - September 14, 1992
MORGAN STANLEY DW INC.
November 16, 1990 - July 9, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 16, 1990 - July 9, 1991
PRUCO SECURITIES, LLC.
December 11, 1986 - January 1, 1989
WATSON & TAYLOR INVESTMENTS INC.
September 14, 1983 - November 6, 1986
FRANKLIN REALTY SECURITIES CORP.
September 16, 1977 - July 1, 1981
PRUDENTIAL EQUITY GROUP, LLC
January 26, 1977 - September 16, 1977
BACHE HALSEY STUART 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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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