David R. Cummings
Professional summary
David Richard Cummings is a registered financial professional currently at TRADEBOT SYSTEMS, INC. located in Kansas City, Missouri.
David is registered as a RR (Registered Representative) and started their career in finance in 2006. David has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Richard Cummings's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2007 - Present
TRADEBOT SYSTEMS, INC.
Office #1: 1251 Nw Briarcliff Parkway Suite 700, Kansas City, MO 64116January 3, 2006 - July 23, 2007
CBOE TRADING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TRADEBOT SYSTEMS, INC.
CRD#: 116571 / SEC#: , 8-53557
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 7 |
Red Flags
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