William J. 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.
William Joseph Cummings JR, who also goes by Bill Cummings, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 6 firms and has passed the Series 65, 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
February 19, 2014 - January 3, 2022
AXIOM ADVISORS, LLC
February 1, 2013 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 1, 2013 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 12, 2001 - February 8, 2013
OSAIC FS, INC.
March 2, 1998 - July 20, 2010
INDEPENDENT ADVISERS GROUP CORP
September 12, 1994 - February 8, 2013
OSAIC FS, INC.
May 6, 1991 - September 12, 1994
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
AXIOM ADVISORS, LLC
CRD#: 136305 / SEC#:
Contact information
Red Flags
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