Vernon Sumnicht has been Chief Executive Officer, Chief Investment Officer, Chief Compliance Officer of Sumnicht & Associates since November 1988, is a control person of the firm and directly owns under 5% of it. Vernon Sumnicht holds a Bachelor's Degree from the University of Wisconsin-Whitewater and an MBA from the University of Wisconsin-Whitewater.
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.
Vernon C. Sumnicht is Chief Executive Officer of Sumnicht & Associates, LLC. He founded the firm, a family wealth management and institutional investment consulting business, in 1988. In 2005 he began using index-based exchange-traded funds to allocate client portfolios, and in 2008 iSectors, LLC was founded as a platform for investment advisors to outsource investment management of their clients' assets.
Vernon Sumnicht’s longest registration is the current one, 22 years at Sumnicht & Associates since 2003.
- Isectors, LLCAlso current– present · 12 yearsAppleton, WI · Adviser representative · Firm CRD 147589
Professional designations
Listed by Sumnicht & Associates
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Vernon Sumnicht is registered as an investment adviser representative in 3 states. The first approvals date from November 2003; the most recent is California, in April 2021.
- CaliforniaSince 29 April 2021
- TexasSince 4 November 2003
- WisconsinSince 4 November 2003
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 3 | National Commodity Futures Examination | 2 December 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 November 1984 |
| Series 7 | General Securities Representative Examination | 20 October 1984 |
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Vernon Coffey Sumnicht
- CRD
- 1315421
- Firm
- Sumnicht & Associates · CRD 111421
- Role
- Chief Executive Officer, Chief Investment Officer, Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- November 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- sumnicht.com
Where does Vernon Sumnicht work?
Vernon Sumnicht has been Chief Executive Officer, Chief Investment Officer, Chief Compliance Officer of Sumnicht & Associates, LLC since November 1988, and is a control person of the firm.
Is Vernon Sumnicht a financial advisor?
Yes. Vernon Sumnicht has a current investment-adviser registration in California, Texas and Wisconsin, through Sumnicht & Associates since November 2003.
How many years of experience does Vernon Sumnicht have?
Vernon Sumnicht has 22 years in the financial industry, since November 2003, across 2 adviser firms.
What exams has Vernon Sumnicht passed?
Vernon Sumnicht has passed 3 licensing exams: the Series 7, Series 63 and Series 3. The earliest, the Series 7, was passed in October 1984.
Is Vernon Sumnicht registered with FINRA?
No. Vernon Sumnicht has no current broker registration.
Is Vernon Sumnicht a CFP?
Sumnicht & Associates lists Vernon Sumnicht with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Vernon Sumnicht’s record?
Search CRD 1315421 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Vernon Sumnicht’s full registration record.