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James W Sumner

Ashton Thomas Private Wealth

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About James W Sumner

James W. Sumner is a registered investment advisor representative of Ashton Thomas Private Wealth. James has over 13 years of experience in the financial services industry. He is a Series 66 and Series 7 licensed professional. James has worked for multiple firms, including KeyBanc Capital Markets Inc., Cetera Investment Services LLC, and Pacific Crest Securities LLC. James is currently registered in Arizona, Florida, and Oregon. He is also a Director for the Western Golf Association and the Multnomah Athletic Foundation. James' areas of expertise include investment advice, financial planning, and pension consulting.

Firm Information

James Sumner is currently registered with Ashton Thomas Private Wealth. Ashton Thomas Private Wealth is a Scottsdale, Arizona-based wealth management firm that provides financial planning, pension consulting, portfolio management for individuals, selection of other advisers, and variable product model design and maintenance services. The firm has $2.89 billion in regulatory assets under management and serves a diverse clientele including individuals, families, businesses, charitable organizations, and pension and profit sharing plans.
Ashton Thomas Private Wealth

8605 EAST RAINTREE DRIVE

SCOTTSDALE, AZ 85260

$2.89B

Assets Under Management

Not reported

Total Clients

57

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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variable product model design and maintenance

Variable product model design and maintenance

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Sumner’s Registration & Firm History

OR

11/23/2022 - Present

Ashton Thomas Private Wealth (PORTLAND OR)

OR

04/26/2019 - 05/04/2021

CETERA INVESTMENT SERVICES LLC (PORTLAND OR)

OR

04/13/2015 - 06/06/2017

KEYBANC CAPITAL MARKETS INC. (PORTLAND OR)

OR

04/02/2008 - 04/13/2015

PACIFIC CREST SECURITIES LLC (PORTLAND OR)

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Licenses & Designations

BOTH

Issued 09/29/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/25/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/06/2017

SIE - Securities Industry Essentials Examination

BC

Issued 04/01/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James W Sumner.
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