David S. 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.
David Samuel Cummins was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 14 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2009 - September 20, 2011
TRIBAL CAPITAL MARKETS, LLC
April 19, 2004 - March 26, 2009
CUMMINS FINANCIAL CORPORATION
May 20, 1998 - March 5, 2003
DIRECT BROKERAGE, INC.
March 24, 1995 - January 30, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
September 1, 1994 - March 1, 1995
M.S. FARRELL & COMPANY, INC.
March 30, 1994 - May 3, 1994
DUNHILL EQUITIES, INC.
June 2, 1993 - February 23, 1994
BEACON SECURITIES, INC.
August 20, 1992 - April 29, 1993
LCP CAPITAL CORP.
July 3, 1991 - August 11, 1992
PRUDENTIAL EQUITY GROUP, LLC
February 8, 1991 - April 19, 1991
BERKELEY SECURITIES CORPORATION
April 4, 1990 - February 14, 1991
GLOBAL CAPITAL SECURITIES, INC.
September 21, 1989 - February 10, 1990
J. T. MORAN & CO., INC.
August 15, 1988 - November 9, 1988
OXFORD CAPITAL SECURITIES, INC.
August 12, 1988 - August 30, 1988
MICHAEL A WEISSER, 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
Series 55
Date: 7/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
TRIBAL CAPITAL MARKETS, LLC
CRD#: 38901 / SEC#: , 8-48460
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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