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RC

Russell P. Cumming

Some features on this profile are disabled
CRD#: 1016341
RC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Russell Penney Cumming JR, who also goes by (jr) Russell Penney Cumming, Russell P Cumming Jr, Russell P Cumming Jr. Jr, was a registered financial professional .

Russell is a previously registered financial professional and started their career in finance in 1981. Russell had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

(jr) Russell Penney Cumming | Russell P Cumming Jr | Russell P Cumming Jr. Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 16, 2012 - August 5, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
OLD SAYBROOK, CT
Past

July 2, 2012 - August 5, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
OLD SAYBROOK, CT
Past

June 1, 2009 - July 11, 2012

MORGAN STANLEY

RIA
CRD#: 149777
MYSTIC, CT
Past

June 1, 2009 - July 11, 2012

MORGAN STANLEY

BD
CRD#: 149777
MYSTIC, CT
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
MYSTIC, CT
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
MYSTIC, CT
Past

October 7, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
MYSTIC, CT
Past

October 7, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
MYSTIC, CT
Past

June 20, 2005 - October 10, 2005

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
MYSTIC, CT
Past

May 16, 1988 - October 10, 2005

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

September 13, 1985 - June 10, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

March 30, 1982 - September 30, 1985

ADVEST, INC.

BD
CRD#: 10
Past

December 11, 1981 - May 26, 1982

NEW ENGLAND SECURITIES

BD
CRD#: 615

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/26/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/5/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/1982
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/4/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/17/2012
General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)
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Contact information

Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
6,727

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts1,030,208
AUM (Assets Under Management)$ 344,868,106,925

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/12/2025
Cover Page
Report
08/21/2024
Cover Page
Report
09/27/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

CRD#: 149018

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