Richard A. Cumiskey
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.
Richard Allen Cumiskey, who also goes by Rich Cumiskey Jr, Richard Allen Cumiskey Jr, Richie Cumiskey Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 24, Series 14 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
December 11, 2013 - January 8, 2020
HERBERT J. SIMS & CO, INC.
March 7, 2013 - December 2, 2013
UBS FUND SERVICES (USA) LLC
March 18, 1999 - April 27, 2000
PARK AVENUE SECURITIES LLC
January 23, 1996 - April 1, 2011
GUARDIAN INVESTOR SERVICES LLC
July 23, 1992 - January 4, 1996
WALL STREET ACCESS
May 25, 1988 - July 8, 1992
GRUNTAL & CO., L.L.C.
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: 8/28/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HERBERT J. SIMS & CO, INC.
CRD#: 3420 / SEC#: , 8-3315
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEKSYS CORPORATION | OWNER | |
| DIAMOND, JASON HOWARD | CHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL | 2320884 |
| RULNICK, AARON M | DIRECTOR | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| MULLANE, DANIEL JOSEPH | MANAGING PRINCIPAL | 1246435 |
| SANDS, R JEFFREY | DIRECTOR | 4285040 |
| SIMS, WILLIAM BARNETT | PRESIDENT/CEO | 425019 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
