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FIRM PROFILE
Overview
J.M LUMMIS SECURITIES, INC. is located at 50 Locust Ave, New Canaan, CT 06840 and was first established at Boston, Connecticut in 06/19/1997. After operating for 28 years, J.M LUMMIS SECURITIES, INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of J.M LUMMIS SECURITIES, INC.’s clients are individuals and 0% of their clients are high net worth individuals. J.M LUMMIS SECURITIES, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at J.M LUMMIS SECURITIES, INC. are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access J.M LUMMIS SECURITIES, INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at J.M LUMMIS SECURITIES, INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for J.M LUMMIS SECURITIES, INC. Comes From
Understanding the Statistics for J.M LUMMIS SECURITIES, INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
50 Locust Ave, New Canaan, CT 06840
50 Locust Ave, New Canaan, CT 06840
Small
(203) 966-0005
Connecticut since 06/19/1997
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| J. M. LUMMIS & COMPANY, INC. | SHAREHOLDER | ||
| LUMMIS, DAVID CARLETON | PRESIDENT/CEO, CCO | 2936177 |
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Advisor's working at J.M LUMMIS SECURITIES, INC.
Edward Gregory Samson
David Carleton Lummis
Timothy Frank Mahoney
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