Richard J. Cumley
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.
Richard Joseph Cumley, who also goes by Joe Cumley, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 12 firms and has passed the Series 63, SIE, Series 7 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
June 1, 2022 - June 26, 2023
CROWN CAPITAL SECURITIES, L.P.
March 30, 2017 - February 23, 2022
DOMINION INVESTOR SERVICES, INC.
November 14, 2014 - December 31, 2016
SECURITIES AMERICA ADVISORS, INC.
November 14, 2014 - December 31, 2016
SECURITIES AMERICA, INC.
November 15, 2001 - November 14, 2014
SUNSET FINANCIAL SERVICES, INC.
November 7, 2001 - November 14, 2014
SUNSET FINANCIAL SERVICES, INC.
June 2, 1999 - November 2, 2001
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 31, 1997 - June 8, 1999
CORNERSTONE INVESTMENTS, L.L.C.
September 25, 1996 - April 1, 1997
SECURITIES AMERICA, INC.
June 22, 1992 - October 1, 1996
WALNUT STREET SECURITIES, INC.
January 30, 1992 - March 31, 1992
ROBERT W. BAIRD & CO. INCORPORATED
January 30, 1992 - March 31, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 6, 1987 - January 24, 1992
METROPOLITAN LIFE INSURANCE COMPANY
October 6, 1987 - January 24, 1992
MSI FINANCIAL SERVICES, 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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
