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JC

James A. Cummings

Some features on this profile are disabled
CRD#: 2582547
JC

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.

James Arnell Cummings, who also goes by James Cummings, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1995. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Cummings

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 31, 2012 - October 8, 2012

SOUTHEAST INVESTMENTS, N.C., INC.

RIA
CRD#: 43035
HAMDEN, CT
Past

May 25, 2012 - October 8, 2012

SOUTHEAST INVESTMENTS, N.C., INC.

BD
CRD#: 43035
CHARLOTTE, NC
Past

January 3, 2011 - November 17, 2011

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

July 30, 2010 - December 2, 2010

EQUITY SERVICES, INC.

RIA
CRD#: 265
EAST HARTFORD, CT
Past

July 30, 2010 - December 2, 2010

EQUITY SERVICES, INC.

BD
CRD#: 265
EAST HARTFORD, CT
Past

June 1, 2009 - April 26, 2010

MORGAN STANLEY

RIA
CRD#: 149777
PURCHASE, NY
Past

June 1, 2009 - April 26, 2010

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

May 29, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

May 29, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 2, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
NEW YORK, NY
Past

November 11, 1996 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
NEW YORK, NY
Past

July 18, 1996 - November 11, 1996

FIRST CAMBRIDGE SECURITIES CORPORATION

BD
CRD#: 21846
NEW YORK, NY
Past

February 10, 1995 - July 16, 1996

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/21/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/14/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/7/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/18/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/10/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

SI
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida
Registered Investment Advisory firm - SEC (11/7/2019 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (3/31/2016 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (1/6/2012 Approved)
Texas
Registered Investment Advisory firm - SEC (12/16/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/21/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528
Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217
Phone number
(704) 527-7873
Established
North Carolina since 12/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BLACK, JONATHAN HARRISONPRESIDENT/CEO/CCO/FINOP4975641
PLEXICO, RONALD DAVID JRPRINCIPAL2122340

Disclosures

Regulatory Event3
Arbitration3

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.

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

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