Wesley C. Cummins

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CRD#: 4209192

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.

Wesley Carl Cummins was a registered financial professional .

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

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

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.

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

April 30, 2020 - December 31, 2024

272 CAPITAL LP

RIA

CRD#: 308148

DALLAS, TX

Past

March 14, 2008 - March 18, 2011

B. RILEY & CO., LLC

RIA

CRD#: 40355

LOS ANGELES, CA

Past

March 5, 2002 - March 18, 2011

B. RILEY & CO., LLC

CRD#: 40355

LOS ANGELES, CA

Past

September 19, 2000 - February 4, 2002

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

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: 3/12/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 4/4/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 3/31/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 9/18/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/3/2006

General Securities Principal Examination

Current Firm

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 - (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).

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Contact information

Main Address

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

Mailing Address

Phone number

(214) 556-2465

Established

Firm type

Fiscal year end

# of Employees

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

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

Wesley C. Cummins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

B. RILEY & CO., LLC

B. RILEY & CO., LLC

NEEDHAM & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/12/2008

Series 63

Date: 11/13/2000

Series 87

Date: 4/4/2005

Series 86

Date: 3/31/2005

Series 7

Date: 9/18/2000

Series 24

Date: 11/3/2006

Current Firm

272 CAPITAL LP

Contact information

Documents

Part 2 Brochures

Exempt reporting advisers

Red Flags

Company Information

272 CAPITAL LP

TRUST BUT VERIFY

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