Kris Sumner
Chief Compliance Officer at Evermay Wealth Management, LLC- Claim this Profile
Contact Information
us****@****om
(386) 825-5501
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Location
Winchester, Virginia, United States, US
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Experience
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Evermay Wealth Management, LLC
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United States
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Investment Management
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1 - 100 Employee
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Chief Compliance Officer
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May 2023 - Present
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E*TRADE from Morgan Stanley
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Financial Services
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700 & Above Employee
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Vice President and Chief Compliance Officer E*TRADE Capital Management, LLC
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Apr 2017 - May 2022
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Compliance Officer
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Feb 2004 - Apr 2017
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Chief Compliance Officer
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Feb 2010 - Feb 2011
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Compliance Examiner
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Jun 2000 - Feb 2004
Conducted investigations and exams for FINRA's Enforcement Department. Prior to joining the Enforcement Department, I was an Advertising Review Analyst for FINRA's Advertising Regulation Department.
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Compliance Examiner
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2002 - 2004
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Education
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2006 - 2006
Georgetown University
Professional Development Certificate, Financial Planning -
1992 - 1996
James Madison University
BBA, Management, Economics
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