BC
Barbara J. Cummings
WILLIAM BLAIR | Managing Director, Wealth Advisor
BOSTON, MA 02110
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CRD#: 1122319
BC
Professional summary
Barbara Jean Cummings, who also goes by Barbara Jean Murphy, is a registered financial advisor currently at WILLIAM BLAIR located in Boston, Massachusetts.
Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Barbara has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Institutional consulting
Executive services/Equity comp...
Philanthropic services
Loans/credit services
Trading individual securities
Trust & estate planning
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
Are you a "fiduciary"?
Yes
Aliases
Barbara Jean Murphy
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.
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Jean Cummings's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barbara Jean Cummings's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 18, 2015 - Present
WILLIAM BLAIR
Office #1: 125 High Street Oliver Street Tower Suite 1901, Boston, MA 02110RIA
BD
CRD#: 1252
BOSTON, MA
Current
September 10, 2015 - Present
WILLIAM BLAIR
Office #1: 125 High Street Oliver Street Tower Suite 1901, Boston, MA 02110RIA
BD
CRD#: 1252
BOSTON, MA
Past
March 26, 1994 - November 22, 1996
BAYBANKS BROKERAGE SERVICES, INC.
BD
CRD#: 17536
Past
January 27, 1986 - August 31, 1992
SCHOOL STREET FUND DISTRIBUTOR, INC.
BD
CRD#: 11021
Past
April 20, 1983 - August 5, 1985
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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".
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/14/2017)
RR
Colorado(10/25/2018)
RR
Connecticut(12/23/2015)
RR
Delaware(12/21/2015)
RR
District of Columbia(4/20/2016)
RR
Florida(12/23/2015)
RR
Georgia(11/30/2022)
IAR
Illinois(5/18/2015)
RR
Illinois(9/17/2015)
RR
Indiana(1/3/2025)
RR
Maine(12/23/2015)
IAR
Massachusetts(6/5/2015)
RR
Massachusetts(11/6/2015)
RR
Minnesota(11/24/2020)
RR
Missouri(12/23/2015)
RR
New Hampshire(12/21/2015)
RR
New Jersey(8/10/2016)
RR
New York(12/21/2015)
RR
Ohio(9/27/2018)
RR
Oklahoma(2/11/2021)
RR
Puerto Rico(4/28/2022)
RR
Rhode Island(12/22/2015)
RR
South Carolina(11/3/2020)
RR
Tennessee(6/11/2025)
RR
Texas(10/18/2018)
RR
Vermont(9/23/2022)
RR
Virginia(5/2/2023)
RR
Washington(7/12/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
The William Blair Building 150 North Riverside, Chicago, IL 60606
Mailing Address
The William Blair Building 150 North Riverside, Chicago, IL 60606-1594
Phone number
(312) 236-1600
Established
Delaware since 10/30/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
469
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WBC HOLDINGS, L.P. | HOLDING COMPANY | |
| CITARDI, CISSIE | EXECUTIVE COMMITTEE, GENERAL COUNSEL | 6642613 |
| DEVORE, RYAN JACOB | EXECUTIVE COMMITTEE | 3049671 |
| DUWA, ROBERT J | EXECUTIVE COMMITTEE | 2931296 |
| GLEDHILL, BRENT WALKER | PRESIDENT, CEO | 2921069 |
| MCLAUGHLIN, SCOTT THOMAS | EXECUTIVE COMMITTEE | 2481285 |
| QUINN, MICHAEL PATRICK | EXECUTIVE COMMITTEE | 3257072 |
| RASAVONGXAY, WILLSON B | CHIEF COMPLIANCE OFFICER | 6593731 |
| SATTERFIELD, BETH A | EXECUTIVE COMMITTEE | 6011858 |
| TOLE, STEVEN ROBERT | EXECUTIVE COMMITTEE | 5885283 |
| TRIMBERGER, MICHAEL WILLIAM | CFO | 5329834 |
| ZIMMER, MATTHEW MONTGOMERY | EXECUTIVE COMMITTEE | 4157826 |
Regulatory assets under management
| Total Number of Accounts | 37,973 |
| AUM (Assets Under Management) | $ 58,329,726,421 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
| Bond | 1 |
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
WILLIAM BLAIR
Managing Director, Wealth AdvisorCRD#: 1252Boston, MA 02110TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
