Andrew H. Cummins
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.
Andrew Hall Cummins, who also goes by Andy Cummins, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1986. Andrew had worked at 5 firms and has passed the Series 65, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 1996 - December 31, 2014
EXPLORADOR CAPITAL MANAGEMENT, LLC
February 28, 1990 - December 5, 1991
JMB SECURITIES CORPORATION
December 10, 1987 - March 4, 1989
LIQUIDITY FINANCIAL ADVISORS, INC
August 20, 1987 - December 14, 1987
INTERFIRST CAPITAL CORPORATION
July 17, 1986 - April 28, 1988
TRAWEEK 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
EXPLORADOR CAPITAL MANAGEMENT, LLC
CRD#: 139762 / SEC#: 802-121508
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 5/14/2021 |
Red Flags
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