Dirk P. Cummins
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.
Dirk Patrick Cummins was a registered financial professional .
Dirk is a previously registered financial professional and started their career in finance in 1983. Dirk had worked at 9 firms and has passed the Series 63, Series 15, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2011 - December 31, 2012
DIRK CUMMINS & ASSOCIATES
April 18, 1991 - October 10, 1991
MONY SECURITIES CORPORATION
August 2, 1990 - October 23, 1990
METROPOLITAN LIFE INSURANCE COMPANY
August 2, 1990 - October 23, 1990
MSI FINANCIAL SERVICES, INC.
May 22, 1989 - August 3, 1989
KEOGLER, MORGAN & COMPANY, INC.
September 15, 1988 - June 2, 1989
LEHMAN BROTHERS INC.
June 10, 1988 - March 7, 1989
FIDELITY EQUITY SERVICES CORPORATION
March 31, 1986 - November 28, 1986
E. F. HUTTON & COMPANY INC
November 22, 1983 - April 8, 1986
LEHMAN BROTHERS INC.
June 14, 1983 - April 17, 1984
1717 CAPITAL MANAGEMENT COMPANY
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 15
Date: 10/23/1984
Foreign Currency Options ExaminationCurrent Firm
DIRK CUMMINS & ASSOCIATES
CRD#: 157857 / SEC#:
Contact information
Red Flags
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