Lynn B. Shumway
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.
Lynn B Shumway, who also goes by Lynn P Bennett ^, Lynn Bennett, Lynn B Shumway Mrs, Lynn Bennett Shumway, Lynn B Vrana ^, Lynn Bennett Vrana, was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 1979. Lynn had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2015 - March 4, 2016
SUMMIT BROKERAGE SERVICES, INC.
August 30, 2010 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
February 19, 2008 - March 25, 2009
SII INVESTMENTS, INC.
February 26, 2007 - February 8, 2008
OSAIC SERVICES, INC.
July 2, 2003 - January 16, 2007
KOVACK SECURITIES INC.
November 16, 1998 - July 11, 2003
RYAN BECK & CO.
December 4, 1996 - November 19, 1998
FISERV INVESTOR SERVICES, INC.
July 31, 1993 - December 13, 1996
CITIGROUP GLOBAL MARKETS INC.
July 26, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
July 17, 1990 - July 23, 1991
UBS FINANCIAL SERVICES INC.
May 14, 1988 - July 25, 1990
LEHMAN BROTHERS INC.
February 26, 1979 - May 14, 1988
E. F. HUTTON & COMPANY 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
Series 8
Date: 5/20/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
