Jeffrey A. Cummer
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.
Jeffrey Alan Cummer, who also goes by Jeff Cummer, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1982. Jeffrey had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2003 - November 6, 2012
SMH CAPITAL ADVISORS LLC
October 2, 2000 - November 6, 2012
SANDERS MORRIS LLC
June 27, 1997 - October 2, 2000
CUMMER/MOYERS SECURITIES, INC.
April 24, 1989 - July 7, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 30, 1982 - July 21, 1988
EDWARD JONES
Primary Firm SEC Registration
SMH CAPITAL ADVISORS LLC
CRD#: 108344 / SEC#: 801-54089
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/28/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SMH CAPITAL ADVISORS LLC
CRD#: 108344 / SEC#: 801-54089
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 189 |
| AUM (Assets Under Management) | $ 419,741,296 |
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.
