LC
Leland T. Cummings
NATIONWIDE FUND DISTRIBUTORS LLC
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 2523271
LC
Professional summary
Leland Thomas Cummings, who also goes by Lee Thomas Cummings III, Lee Thomas Cummings, Lee W Cummings, Leland W Cummings, Leland W T Cummings III, Leland Cummings Iii, is a registered financial professional currently at NATIONWIDE FUND DISTRIBUTORS LLC located in Columbus, Ohio.
Leland is registered as a RR (Registered Representative) and started their career in finance in 1996. Leland has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lee Thomas Cummings Iii | Lee Thomas Cummings | Lee W Cummings | Leland W Cummings | Leland W T Cummings Iii | Leland Cummings Iii
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.
CRS (Client Relationship Summary) - BD
Click below to view Leland Thomas Cummings'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®
NoneExperience
Current
November 7, 2007 - Present
NATIONWIDE FUND DISTRIBUTORS LLC
Office #1: One Nationwide Plaza 1-18-102, Columbus, OH 43215BD
CRD#: 25910
Columbus, OH
Past
April 29, 2004 - December 31, 2005
LIBERTY RIDGE CAPITAL
RIA
CRD#: 106710
WAYNE, PA
Past
June 2, 1998 - December 31, 2005
OLD MUTUAL INVESTMENT PARTNERS
BD
CRD#: 44916
WAYNE, PA
Past
August 21, 1996 - June 5, 1998
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/1/2022)
RR
Alaska(11/1/2022)
RR
Arizona(11/1/2022)
RR
Arkansas(11/1/2022)
RR
California(11/1/2022)
RR
Colorado(11/1/2022)
RR
Connecticut(11/1/2022)
RR
Delaware(11/1/2022)
RR
District of Columbia(11/1/2022)
RR
Florida(11/1/2022)
RR
Georgia(11/1/2022)
RR
Hawaii(11/1/2022)
RR
Idaho(11/1/2022)
RR
Illinois(11/1/2022)
RR
Indiana(9/14/2017)
RR
Iowa(11/1/2022)
RR
Kansas(11/1/2022)
RR
Kentucky(11/1/2022)
RR
Louisiana(11/1/2022)
RR
Maine(11/1/2022)
RR
Maryland(11/1/2022)
RR
Massachusetts(11/1/2022)
RR
Michigan(11/1/2022)
RR
Minnesota(11/1/2022)
RR
Mississippi(11/1/2022)
RR
Missouri(11/1/2022)
RR
Montana(11/1/2022)
RR
Nebraska(11/1/2022)
RR
Nevada(11/1/2022)
RR
New Hampshire(11/1/2022)
RR
New Jersey(11/1/2022)
RR
New Mexico(11/1/2022)
RR
New York(11/1/2022)
RR
North Carolina(11/1/2022)
RR
North Dakota(11/1/2022)
RR
Ohio(11/1/2022)
RR
Oklahoma(11/1/2022)
RR
Oregon(11/1/2022)
RR
Pennsylvania(11/1/2022)
RR
Puerto Rico(11/1/2022)
RR
Rhode Island(11/1/2022)
RR
South Carolina(11/1/2022)
RR
South Dakota(11/1/2022)
RR
Tennessee(11/1/2022)
RR
Texas(11/1/2022)
RR
Utah(11/1/2022)
RR
Vermont(11/1/2022)
RR
Virginia(11/1/2022)
RR
Washington(11/1/2022)
RR
West Virginia(11/1/2022)
RR
Wisconsin(11/1/2022)
RR
Wyoming(11/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONWIDE FUND DISTRIBUTORS LLC
ALLIED GROUP MERCHANT BANKING CORPORATION | VILLANOVA DISTRIBUTION SERVICES, INC. | NATIONWIDE FUND DISTRIBUTORS LLC | GARTMORE DISTRIBUTION SERVICES, INC.
CRD#: 25910 / SEC#: , 8-42135
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
One Nationwide Plaza 1-18-102, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-18-102, Columbus, OH 43215
Phone number
(614) 435-6278
Established
Delaware since 04/29/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS INC. | OWNER | |
| BUTSON, HOLLY ANN | CHIEF COMPLIANCE OFFICER | 724115 |
| CUMMINGS, LELAND THOMAS | CHAIRMAN, DIRECTOR & PRESIDENT | 2523271 |
| GINNAN, STEVEN A. | MANAGER | 6984613 |
| HAWLEY, CRAIG ALAN | MANAGER | 4499105 |
| JESTICE, KEVIN THOMAS | MANAGER | 5363377 |
| MONNIN, JENNIFER LYNNE | CHIEF MARKETING OFFICER | 3126618 |
| RIMES, STEPHEN RANDOLPH | VP, ASSOCIATE GENERAL COUNSEL AND ASSISTANT SECRETARY | 4138948 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
Disclosures
| Regulatory Event | 1 |
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.
