Rebecca F. 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.
Rebecca Faye Cummings, who also goes by Becky Cummings, Rebecca Faye Cummings, Becky Freels, Rebecca Faye Freels, Rebecca Faye Freelsmann, Becky Graham, Becky Reif, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 1987. Rebecca had worked at 4 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2022 - August 6, 2024
LEVEL FOUR FINANCIAL, LLC
December 24, 2020 - September 9, 2022
LPL FINANCIAL LLC
February 27, 1989 - October 14, 1989
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
August 3, 1987 - July 26, 1988
PRUCO SECURITIES, LLC.
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
Series 6TO
Date: 12/23/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LEVEL FOUR FINANCIAL, LLC
CRD#: 25700 / SEC#: 801-65811, 8-41965
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 7 |
| 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.
