Daniel T. Cummins

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CRD#: 1256878

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.

Daniel Thomas Cummins was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 10 firms and has passed the Series 63, Series 65, Series 87, Series 86, Series 3, Series 7, Series 5, Series 15 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

November 19, 2012 - October 22, 2013

B. RILEY & CO., LLC

CRD#: 40355

NEW YORK, NY

Past

February 18, 2010 - November 2, 2012

THINKEQUITY LLC

CRD#: 44274

NEW YORK, NY

Past

April 7, 2008 - December 3, 2009

SOLEIL SECURITIES CORPORATION

CRD#: 124737

NEW YORK, NY

Past

July 13, 2005 - February 25, 2008

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

May 1, 2003 - July 14, 2005

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

June 14, 2000 - April 17, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 26, 1999 - May 5, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

April 2, 1997 - April 29, 1999

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

December 6, 1994 - March 26, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 22, 1984 - September 3, 1986

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

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

Series 63

Date: 9/11/1996

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/16/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 87

Date: 2/14/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 1/14/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 3

Date: 6/22/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/18/1994

General Securities Representative Examination

General Industry/Product Exam

Series 5

Date: 8/22/1985

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 7/8/1985

Foreign Currency Options Examination

Principal/Supervisory Exam

Series 4

Date: 5/19/1995

Registered Options Principal Examination

Current Firm

B. RILEY & CO., LLC

B. RILEY & CO., LLC | B. RILEY ASSET MANAGEMENT | B. RILEY AND CO. INC.

CRD#: 40355 / SEC#: , 8-49016

Terminated by SEC on 03/03/2019

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 04/30/2007

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
B. RILEY FINANCIAL, INC.	OWNER
FORMAN, ALAN NEIL	GENERAL COUNSEL	6517416
KELLEHER, THOMAS JOHN	CO-CEO	2881063
MARKUNAS, MICHAEL	CHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL	1832307
MCCOY, MICHAEL RICHARD	FINOP/CFO	4743031
MOORE, ANDREW THOMAS	PRESIDENT	4574997
RILEY, BRYANT RICHARD	CO-CEO	1702453

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Daniel T. Cummins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THINKEQUITY LLC

SOLEIL SECURITIES CORPORATION

BANC OF AMERICA SECURITIES LLC

UBS SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

PERSHING LLC

GOLDMAN SACHS & CO. LLC

UBS FINANCIAL SERVICES INC.

THOMSON MCKINNON SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/11/1996

Series 65

Date: 10/16/1995

Series 87

Date: 2/14/2005

Series 86

Date: 1/14/2005

Series 3

Date: 6/22/1995

Series 7

Date: 11/18/1994

Series 5

Date: 8/22/1985

Series 15

Date: 7/8/1985

Series 4

Date: 5/19/1995

Current Firm

B. RILEY & CO., LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

B. RILEY & CO., LLC

TRUST BUT VERIFY

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