Michael W. 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.
Michael W Cummings, who also goes by Michael W Cummings, Michael William Cummings, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 15 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2018 - November 5, 2021
BANCWEST INVESTMENT SERVICES, INC.
October 31, 2018 - November 5, 2021
BANCWEST INVESTMENT SERVICES, INC.
January 26, 2016 - October 4, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2016 - October 4, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2014 - January 22, 2015
LPS CAPITAL LLC
November 25, 2013 - April 25, 2014
SOURCE CAPITAL GROUP, INC.
October 11, 2011 - November 7, 2013
DEALERWEB LLC
August 2, 2007 - October 10, 2011
RAFFERTY CAPITAL MARKETS, LLC
November 3, 2006 - August 9, 2007
SOURCE CAPITAL GROUP, INC.
September 24, 2003 - October 20, 2006
TP ICAP GLOBAL MARKETS AMERICAS LLC
August 1, 2000 - August 25, 2003
NEWEDGE USA, LLC
May 17, 2000 - August 1, 2000
COWEN AND COMPANY
December 2, 1998 - May 16, 2000
W.A. CAPITAL MARKETS
July 13, 1998 - October 28, 1998
INTERCAPITAL INTERNATIONAL INC.
August 26, 1996 - July 13, 1998
EXCO RMJ INTERNATIONAL INC.
February 22, 1996 - August 26, 1996
TP ICAP GLOBAL MARKETS AMERICAS LLC
May 30, 1995 - February 29, 1996
LIBERTY BROKERS
February 10, 1994 - February 10, 1996
TULLETT PREBON FINANCIAL SERVICES LLC
October 30, 1992 - February 9, 1994
PRUDENTIAL EQUITY GROUP, LLC
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
BANCWEST INVESTMENT SERVICES, INC.
CRD#: 29357 / SEC#: 801-71300, 8-44261
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO HARRIS BANK N.A. | SOLE SHAREHOLDER | |
| BIEL, ROLLIN LYNN | BWIS VICE PRESIDENT - CHIEF FINANCIAL OFFICER/PFO | 5101711 |
| DUBENDORF, DARIN KEITH | BWIS PRESIDENT/CEO - WMG HEAD OF CLIENT SOLUTIONS | 1692187 |
| HATFIELD, JOHN CALVIN | BWIS VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4272399 |
| PRUITT, JEFFREY PAUL | BWIS VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | 2455635 |
Regulatory assets under management
| Total Number of Accounts | 9,062 |
| AUM (Assets Under Management) | $ 2,024,253,748 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2023 |
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.
