Russell L. Cumby
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.
Russell Lionel Cumby III was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1984. Russell had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2002 - December 31, 2018
SAXONY SECURITIES, INC.
April 11, 1995 - October 9, 2002
FIRST WALL STREET CORP.
December 23, 1986 - March 31, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1985 - January 5, 1987
UBS FINANCIAL SERVICES INC.
November 23, 1984 - July 30, 1985
INTERFIRST CAPITAL CORPORATION
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
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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