John L. Cummings
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.
John Lawrence Cummings JR, who also goes by Aj Cummings, John Lawrence Sr Cummings, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 1993 - December 20, 1999
HIGH POINT CAPITAL GROUP, INC.
November 20, 1991 - June 16, 1993
A. G. EDWARDS & SONS, INC.
September 30, 1991 - November 25, 1991
COMPREHENSIVE CAPITAL CORPORATION
January 19, 1988 - September 30, 1991
G. K. SCOTT & CO., INC.
December 22, 1986 - February 2, 1988
MORGAN GLADSTONE & CO. INC.
May 30, 1986 - December 22, 1986
F.D. ROBERTS SECURITIES, INC.
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
HIGH POINT CAPITAL GROUP, INC.
CRD#: 25667 / SEC#: , 8-42040
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDERSEN, ROBERT ELWOOD JR | PRESIDENT, SECRETARY, TREASURER, CCO & FINOP | 2010590 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
