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RC

Raymond W. Cummings

FOLIONET FINANCIAL LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 1437219
RC

Professional summary

Raymond Wert Cummings, who also goes by Ray Cummings, is a registered financial professional currently at FOLIONET FINANCIAL LLC located in Miami, Florida.

Raymond is registered as a RR (Registered Representative) and started their career in finance in 1986. Raymond has worked at 14 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ray Cummings

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) - BD

Click below to view Raymond Wert Cummings's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 21, 2019 - Present

FOLIONET FINANCIAL LLC

Office #1: 1221 Brickell Avenue, Suite 900, Miami, FL 33131
BD
CRD#: 283965
Miami, FL
Past

September 11, 2015 - June 24, 2019

ARCA CAPITAL INVESTMENTS, INC.

BD
CRD#: 109819
Houston, TX
Past

January 1, 2002 - September 10, 2015

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
HOUSTON, TX
Past

October 22, 1997 - January 1, 2002

FIRST COLONIAL SECURITIES

BD
CRD#: 25121
BOCA RATON, FL
Past

January 18, 1996 - December 31, 1998

TDI, INCORPORATED

BD
CRD#: 30629
ENGLEWOOD, CO
Past

January 4, 1995 - October 31, 1997

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

December 15, 1994 - December 31, 1994

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

July 11, 1994 - December 16, 1994

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA
Past

April 3, 1993 - July 13, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

April 9, 1990 - February 4, 1993

MMAR GROUP, INC.

BD
CRD#: 25329
HOUSTON, TX
Past

July 28, 1989 - March 1, 1990

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

BD
CRD#: 16493
Past

October 25, 1988 - July 10, 1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

BD
CRD#: 839
HOUSTON, TX
Past

July 25, 1987 - October 5, 1988

MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.

BD
CRD#: 19184
Past

October 22, 1986 - October 5, 1988

MARCUS, STOWELL & BEYE, INC.

BD
CRD#: 7038

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Maryland
(6/21/2019)
RR
Massachusetts
(10/30/2019)
RR
New York
(6/21/2019)
RR
Texas
(6/21/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FOLIONET FINANCIAL LLC
FOLIONET FINANCIAL LLC | SANTOS CAPITAL GROUP, LLC

CRD#: 283965 / SEC#: , 8-69775

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1221 Brickell Avenue, Suite 900, Miami, FL 33131
Mailing Address
1221 Brickell Avenue, Suite 900, Miami, FL 33131
Phone number
(305) 432-2290
Established
Florida since 03/12/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FOLIONET HOLDINGS INC.DIRECT OWNER
SANTOS, JUAN LCEO/CCO5656132
SAVALLO, LAWRENCE JAMESFINOP1195178

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

FOLIONET FINANCIAL LLC

CRD#: 283965Miami, FL 33131

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