AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
BC

Brendan W. Cummins

NOBLE CAPITAL MARKETS
Westport, CT 06880
Some features on this profile are disabled
CRD#: 4230310
BC

Professional summary

Brendan William Cummins is a registered financial professional currently at NOBLE CAPITAL MARKETS, INC. located in Westport, Connecticut.

Brendan is registered as a RR (Registered Representative) and started their career in finance in 2000. Brendan has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brendan William Cummins'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

February 2, 2021 - Present

NOBLE CAPITAL MARKETS, INC.

Office #1: 88 Post Road West 1st Floor, Westport, CT 06880
BD
CRD#: 15768
Westport, CT
Past

April 21, 2017 - February 2, 2021

AGES FINANCIAL SERVICES, LTD.

BD
CRD#: 15427
Westport, CT
Past

February 14, 2014 - April 24, 2017

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

March 14, 2013 - June 20, 2013

TD ARRANGED SERVICES LLC

BD
CRD#: 122529
NEW YORK, NY
Past

July 12, 2011 - June 20, 2013

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

July 17, 2009 - December 15, 2010

WEEDEN & CO.L.P.

BD
CRD#: 16835
GREENWICH, CT
Past

June 8, 2009 - December 15, 2010

PRAGMA LLC

BD
CRD#: 136453
NEW YORK, NY
Past

September 26, 2000 - August 25, 2004

VIRTU ALTERNET SECURITIES LLC

BD
CRD#: 47867
NEW YORK, NY
Past

August 18, 2000 - May 15, 2009

VIRTU ITG LLC

BD
CRD#: 29299
RYE BROOK, NY

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(2/2/2021)
RR
California
(2/2/2021)
RR
Colorado
(3/25/2021)
RR
Connecticut
(2/2/2021)
RR
Florida
(1/3/2022)
RR
Georgia
(1/3/2022)
RR
Maryland
(8/1/2023)
RR
Massachusetts
(1/3/2022)
RR
New Hampshire
(6/5/2024)
RR
New Jersey
(2/2/2021)
RR
New York
(2/2/2021)
RR
North Carolina
(2/5/2021)
RR
Ohio
(2/2/2021)
RR
South Carolina
(1/3/2022)
RR
Tennessee
(4/19/2023)
RR
Texas
(2/2/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 9/22/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/28/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/17/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/28/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NOBLE CAPITAL MARKETS, INC.
NOBLE CAPITAL MANAGEMENT INC | NOBLE LIFE SCIENCE PARTNERS | NOBLE INTERNATIONAL INVESTMENTS, INC. | NOBLE FINANCIAL CAPITAL MARKETS | NOBLE CAPITAL MARKETS, INC.

CRD#: 15768 / SEC#: , 8-32706

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432
Mailing Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432
Phone number
(561) 994-1191
Established
Florida since 09/21/1984
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NOBLE FINANCIAL GROUP, INC.SHAREHOLDER
LEAN, DAVID JONATHANCCO3114377
PRONK, NICOLAAS PETRUSOWNER, CEO, CFO1726101

Disclosures

Regulatory Event9
Arbitration11

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

NOBLE CAPITAL MARKETS, INC.

CRD#: 15768Westport, CT 06880

TRUST BUT VERIFY

Monitor Brendan Cummins

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
DH
Donald HenryAdvisorCheck Check Mark
CITIGROUP GLOBAL MARKETS INC.
IAR
RR
Norwalk, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.