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SIMON JOHN SUMNER
SIMON SUMNER
CRD#: 2767583
IA
B
LPL FINANCIAL LLCCRD#: 6413 601 BAYSHORE BLVD STE 960
TAMPA, FL 33606
TAMPA, FL 33606
0
Disclosures
14
Years of Experience
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State Registrations
B
Florida 11/21/2016
IA
Florida 11/22/2016
SRO Registrations
B
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IA
Registered with this firm since 11/22/2016
B
Registered with this firm since 11/17/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/04/2015 - 09/12/2016 | TAMPA, FL | |
B | 02/13/2007 - 07/26/2007 | BIRMINGHAM, AL | |
B | 04/10/2006 - 02/13/2007 | TAMPA, FL | |
B | 06/29/2004 - 04/07/2006 | ATLANTA, GA | |
B | 06/23/1997 - 05/10/1999 | ATLANTA, GA | |
B | 07/15/1996 - 08/14/1996 | GREAT FALLS, VA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.