Whitley A. Cummings

PATRICK CAPITAL MARKETS

Summit, NJ 07901

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CRD#: 1619028

Professional summary

Whitley Austin Cummings II is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Summit, New Jersey.

Whitley is registered as a RR (Registered Representative) and started their career in finance in 1987. Whitley has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Whitley Austin Cummings II'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

March 28, 2012 - Present

PATRICK CAPITAL MARKETS, LLC

Office #1: 382 Springfield Ave. Suite 203, Summit, NJ 07901

CRD#: 16518

Summit, NJ

Past

October 23, 2007 - March 14, 2008

SAMCO CAPITAL MARKETS, INC.

CRD#: 136532

AUSTIN, TX

Past

October 1, 2007 - September 4, 2008

COMMERCE STREET CAPITAL, LLC

CRD#: 143797

SUMMIT, NJ

Past

May 19, 2006 - October 1, 2007

SAMCO CAPITAL MARKETS, INC.

CRD#: 136532

NEW YORK, NY

Past

March 14, 2006 - May 19, 2006

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

NEW YORK, NY

Past

March 21, 1998 - February 3, 2006

MCCONNELL, BUDD & ROMANO, INC.

CRD#: 28923

MORRISTOWN, NJ

Past

February 25, 1993 - December 21, 1997

M. A. SCHAPIRO & CO., INC.

CRD#: 3278

NEW YORK, NY

Past

February 26, 1987 - February 8, 1993

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

State Registrations and Notice Filings

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

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

Florida
(2/18/2016)

Illinois
(5/2/2012)

Indiana
(5/11/2012)

Iowa
(1/22/2016)

Kansas
(1/21/2016)

Minnesota
(1/27/2023)

New Jersey
(5/9/2012)

Ohio
(3/17/2025)

Exams

State Security Law Exam

Series 63

Date: 5/10/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PATRICK CAPITAL MARKETS, LLC

PATRICK CAPITAL MARKETS | PATRICK FINANCIAL CORPORATION | PATRICK CAPITAL MARKETS, LLC

CRD#: 16518 / SEC#: , 8-34099

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

11152 South Towne Square, St Louis, MO 63123

Mailing Address

11152 South Towne Square, St. Louis, MO 63123

Phone number

(314) 528-3000

Established

Missouri since 06/16/2008

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SAXONY FINANCIAL HOLDINGS, LLC.	SOLE OWNER/ MEMBER
CLARK, BRIAN LESLEY	PRESIDENT, CEO, AND CFO	4802438
KLUMP, RYAN CHRISTOPHER	SENIOR VICE PRSIDENT	4762698
MATARAZZI, NATHAN DOMENICO	FINOP, POO AND PFO	4827090
MITCHELL, JARAD BYRAM	COO	4811305
WEBSTER, TERRANCE MICHAEL	CHIEF COMPLIANCE OFFICER	6826889

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Whitley A. Cummings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Whitley Austin Cummings II's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAMCO CAPITAL MARKETS, INC.

COMMERCE STREET CAPITAL, LLC

SAMCO CAPITAL MARKETS, INC.

PENSON FINANCIAL SERVICES, INC.

MCCONNELL, BUDD & ROMANO, INC.

M. A. SCHAPIRO & CO., INC.

RYAN BECK & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/10/2012

SIE

Date: 10/1/2018

Series 7

Date: 2/21/1987

Series 24

Date: 6/1/2005

FINRA

Current Firm

PATRICK CAPITAL MARKETS, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PATRICK CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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