Doug 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.
Doug Cummings was a registered financial professional .
Doug is a previously registered financial professional and started their career in finance in 1992. Doug had worked at 5 firms and has passed the Series 63, SIE, Series 82, Series 7, Series 3 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 8, 2014 - November 5, 2014
CP INVESTMENTS, LLC
May 7, 2007 - February 11, 2011
GRAMERCY FINANCIAL SERVICES LLC
June 3, 2005 - May 7, 2007
LYSTER WATSON SECURITIES, INC.
March 17, 1998 - March 21, 2005
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
March 27, 1992 - February 5, 1998
FPS BROKER SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CP INVESTMENTS, LLC
CRD#: 24029 / SEC#: , 8-40862
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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