Bruce A. Cumbo

ALLSTATE FINANCIAL ADVISORS

Wilmington, NC 28412-2369

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CRD#: 2702174

Professional summary

Bruce Allen Cumbo, who also goes by Bruce Allen Cumbo Jr, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Wilmington, North Carolina and ALLSTATE FINANCIAL SERVICES, LLC located in Wilmington, North Carolina.

Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Bruce has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bruce Allen Cumbo Jr

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.

BRUCE A. CUMBO POSITION: Owner NATURE: Passive Insurance collecting premiums INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 05/15/2017 ADDRESS: 295 Slater Road, Lewisville NC 27023, United States DESCRIPTION: These contracts are old contracts but I am agent on record.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Allen Cumbo's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 16, 2023 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 4837 Carolina Beach Rd Ste 112, Wilmington, NC 28412-2369

RIA

CRD#: 109524

Wilmington, NC

Current

May 16, 2023 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 4837 Carolina Beach Rd Ste 112, Wilmington, NC 28412-2369

CRD#: 18272

Wilmington, NC

Past

January 16, 2018 - June 26, 2023

THE RETIREMENT GROUP, LLC

RIA

CRD#: 148296

Lewisville, NC

Past

February 11, 2017 - December 31, 2017

THE RETIREMENT GROUP, LLC

RIA

CRD#: 148296

Lewisville, NC

Past

February 9, 2015 - May 2, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

LEWISVILLE, NC

Past

August 15, 2011 - February 25, 2015

INVESTORS CAPITAL CORP.

CRD#: 30613

CLEMMONS, NC

Past

June 27, 2005 - August 22, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

YADKINVILLE, NC

Past

May 3, 2001 - June 27, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

March 22, 1996 - May 1, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

North Carolina
(5/16/2023)

North Carolina
(5/17/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/5/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/1/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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.

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Firm Stability Insights

Bruce A. Cumbo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Allen Cumbo's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

THE RETIREMENT GROUP, LLC

THE RETIREMENT GROUP, LLC

FSC SECURITIES CORPORATION

INVESTORS CAPITAL CORP.

SECURITIES AMERICA, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/5/2017

Series 63

Date: 4/1/1996

SIE

Date: 10/1/2018

Series 7

Date: 3/21/1996

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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