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WC

Wesley Carl Cummins

CRD# 4209192·Registered 2000 - 2024

Previously Registered: Being a previously registered professional could mean that Wesley 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.

Professional Summary

Wesley Carl Cummins was a registered financial advisor. Wesley was a previously registered financial professional and started their career in finance 2000 - 2024. Wesley had worked at 3 firms and has passed the Series 65, Series 63, Series 87, Series 86, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

272 CAPITAL LP·CRD# 308148

RIA

Dallas, TX

April 30, 2020 - December 31, 2024

B. RILEY & CO., LLC·CRD# 40355

RIA

Los Angeles, CA

March 14, 2008 - March 18, 2011

B. RILEY & CO., LLC·CRD# 40355

BD

Los Angeles, CA

March 5, 2002 - March 18, 2011

NEEDHAM & COMPANY, LLC·CRD# 16360

BD

New York, NY

September 19, 2000 - February 4, 2002

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Current Firm

2C

272 CAPITAL LP

272 CAPITAL LLC | B. RILEY ASSET MANAGEMENT LLC | B. RILEY ASSET MANAGEMENT | 272 CAPITAL, LP | 272 CAPITAL LP

CRD#: 308148 / SEC#: 802-133862

RIA

Registered Investment Advisory firm - SEC (6/11/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

3811 Turtle Creek Blvd. Suite 2125, Dallas, TX 75219

Phone Number

(214) 556-2465

Documents

Latest Form ADV

Part 2 Brochures

272 PART 2A (3/31/2025)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	6/11/2025

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Applied Science Products Inc., (non-investment related) Knoxville, TN. Nature of business - dormant Start - 02/2007 Time devoted - 0 hours, standard board member duties. Telenav, (non-investment related) Santa Clara, CA. Nature of business - automotive navigation Start - -07/2018 Time devoted - 30 hours per month, 2 hours per month during trading hours, standard board member duties. Sequans (non-investment related) Paris, FR. Nature of business - communication semiconductors Start - 07/2018 Time devoted - 30 hours per month, 2 hours per month during trading hours, standard board member duties. Vishay Precision Group, Inc. (non-investment related) Malvern, PA. Nature of business - precision weighing components Start - 07/2018 Time devoted - 30 hours per month, 2 hours per month during trading hours, standard board member duties. CalAmp (non-investment related)Start - 06/2022 Time devoted - 30 hours per month, 2 hours per month during trading hours, standard board member duties.

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State Registrations and Notice Filings

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

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2008About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2000About the Series 63 exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Apr 2005About the Series 87 exam

Series 86 — Research Analyst Exam - Part I Analysis Module

Passed Mar 2005About the Series 86 exam

Series 7 — General Securities Representative Examination

Passed Sep 2000About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 2006About the Series 24 exam

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CRS (Client Relationship Summary)

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

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WC

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