Sandra T. Cummins

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CRD#: 2927270

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.

Sandra Thomas Cummins, who also goes by Sandra Thomas Case, Sandra T Cummins, Sandy Thomas Cummins, Sandy Cummins, Sandra Elizabeth Thomas, was a registered financial professional .

Sandra is a previously registered financial professional and started their career in finance in 1997. Sandra had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sandra Thomas Case | Sandra T Cummins | Sandy Thomas Cummins | Sandy Cummins | Sandra Elizabeth Thomas

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.

Elkhorn Private Wealth, LLC - Lexington, Kentucky, Investment-related, employee, Investment advise - advising clients with investment direction and implementation, Participation start date 09/2021, 160 business hours per month during trading hours.

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®

CRD#: 7059

LEXINGTON, KY

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".

BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLC

BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLC | EDWARDS WEALTH MANAGEMENT

CRD#: 297750 / SEC#: 801-113797

RIA

Registered Investment Advisory firm - (8/6/2018 Approved)

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.

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.

Exams

State Security Law Exam

Series 63

Date: 12/18/1997

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: 12/9/1997

General Securities Representative Examination

Current Firm

BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLC

BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLC | EDWARDS WEALTH MANAGEMENT

CRD#: 297750 / SEC#: 801-113797

RIA

Registered Investment Advisory firm - (8/6/2018 Approved)

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Contact information

Main Address

One North Brentwood Suite 850, St. Louis, MO 63105

Mailing Address

Phone number

(314) 726-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/31/2025)

WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,424
AUM (Assets Under Management)	$ 894,040,381

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
12/20/2023	Cover Page	Report
10/28/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Sandra T. Cummins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BENJAMIN F. EDWARDS & COMPANY, INC.

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/9/1997

Current Firm

BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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