Scott Jones has been an investment adviser representative at Sumnicht & Associates since July 2007, and is not listed among the firm’s executive officers or direct owners.
Sumnicht & Associates, LLC is an Appleton, WI firm with $108M under management, 10 clients and 3 advisers across 3 offices, as of its March 2026 filing.
Scott Jones’ longest registration is the current one, 19 years at Sumnicht & Associates since 2007.
- Isectors, LLCAlso current– present · 16 yearsAppleton, WI · Adviser representative · Firm CRD 147589
- Sumnicht & Associates, LLCCurrent– present · 19 yearsLake Forest, CA · Adviser representative · Firm CRD 111421
Investment adviser representative registrations
Scott Jones is registered as an investment adviser representative in 2 states. The first approvals date from July 2007; the most recent is Wisconsin, in April 2012.
- CaliforniaSince 31 July 2007
- WisconsinSince 23 April 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 30 July 2007 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Scott Richard Jones
- CRD
- 5026096
- Firm
- Sumnicht & Associates · CRD 111421
- Office
- Lake Forest, CA
- Registration
- Investment adviser registration
- In the industry since
- July 2007
- Disciplinary history
- Not yet shown here · SEC record
Where does Scott Jones work?
Scott Jones is an investment adviser representative registered through Sumnicht & Associates, LLC since July 2007, and is not listed among the firm’s executive officers or direct owners.
Is Scott Jones a financial advisor?
Yes. Scott Jones has a current investment-adviser registration in California and Wisconsin, through Sumnicht & Associates since July 2007.
How many years of experience does Scott Jones have?
Scott Jones has 19 years in the financial industry, since July 2007, across 2 adviser firms.
What exams has Scott Jones passed?
Scott Jones passed the Series 65 in July 2007.
Where is Scott Jones based?
Scott Jones’ registered office is in Lake Forest, CA.
Is Scott Jones registered with FINRA?
No. Scott Jones has no current broker registration.
How can I verify Scott Jones’ record?
Search CRD 5026096 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Scott Jones’ full registration record.
