Donald B. Cummings

BLUE HAVEN CAPITAL

Geneva, IL 60134

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CRD#: 1882353

Professional summary

Donald Brace Cummings JR is a registered financial advisor currently at BLUE HAVEN CAPITAL, LLC located in Geneva, Illinois.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Donald has worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Donald Brace Cummings JR's 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

October 18, 2006 - Present

BLUE HAVEN CAPITAL, LLC

Office #1: 312 West State Street Suite 112, Geneva, IL 60134

RIA

CRD#: 141738

Geneva, IL

Past

June 27, 2006 - September 1, 2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

GENEVA, IL

Past

January 7, 2005 - September 1, 2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

GENEVA, IL

Past

November 27, 1996 - February 4, 2005

HOWE BARNES HOEFER & ARNETT, INC.

CRD#: 2240

CHICAGO, IL

Past

December 11, 1990 - December 3, 1996

BARRINGTON TRADING COMPANY

CRD#: 7573

BARRINGTON, IL

Past

October 19, 1988 - December 19, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(9/21/2022)

IAR

Illinois
(10/18/2006)

IAR

New Jersey
(8/3/2021)

IAR

New York
(7/31/2021)

IAR

Texas
(6/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/26/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/9/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

Current Firm

BLUE HAVEN CAPITAL, LLC

BLUE HAVEN CAPITAL, LLC | BUILDBHC

CRD#: 141738 / SEC#:

Florida

Registered Investment Advisory firm - (9/21/2022 Approved)

Illinois

Registered Investment Advisory firm - (10/18/2006 Approved)

New Jersey

Registered Investment Advisory firm - (8/3/2021 Approved)

New York

Registered Investment Advisory firm - (7/1/2021 Approved)

Texas

Registered Investment Advisory firm - (6/8/2021 Approved)

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Contact information

Main Address

312 West State Street Suite 112, Geneva, IL 60134

Mailing Address

Phone number

(630) 588-3800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 96,000,000

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.

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Donald B. Cummings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Brace Cummings JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLUE HAVEN CAPITAL, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

HOWE BARNES HOEFER & ARNETT, INC.

BARRINGTON TRADING COMPANY

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/2006

Series 63

Date: 10/27/1988

Series 3

Date: 11/9/1988

Series 7

Date: 10/15/1988

Current Firm

BLUE HAVEN CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BLUE HAVEN CAPITAL, LLC

TRUST BUT VERIFY

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