Dean P. Cummings

PILOT CAPITAL MANAGEMENT CORP

Saint Paul, MN

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CRD#: 4774436

Professional summary

Dean Paul Cummings is a registered financial advisor currently at PILOT CAPITAL MANAGEMENT CORP located in Saint Paul, Minnesota and T. ROSE & ASSOCIATES, INC. located in Mpls, Minnesota.

Dean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Dean has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

T. Rose & Associates, Inc.; investment related; Minneapolis, MN; Investment Advisor; investment advisor representative; started 10/2021; less than 1% of time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Paul Cummings's 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

January 29, 2014 - Present

PILOT CAPITAL MANAGEMENT CORP

RIA

CRD#: 107684

Saint Paul, MN

Current

April 28, 2014 - Present

T. ROSE & ASSOCIATES, INC.

RIA

CRD#: 115253

Mpls, MN

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(1/29/2014)

IAR

Texas
(8/26/2021)

IAR

Wisconsin
(6/26/2020)

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

IAR

Series 65

Date: 7/26/2010

Uniform Investment Adviser Law Examination

Current Firm

PILOT CAPITAL MANAGEMENT CORP

CRD#: 107684 / SEC#: 801-32154

RIA

Registered Investment Advisory firm - (6/11/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (7/26/2010 Approved)

Texas

Registered Investment Advisory firm - (8/26/2021 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (6/25/2020 Approved)

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

Saint Paul, MN

Mailing Address

Po Box 40171, Saint Paul, MN 55104-5485

Phone number

(612) 337-8080

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 54,129,000

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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Dean P. Cummings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Paul Cummings's CRS (Customer Relationship Summary).

Certified licenses

Experience

PILOT CAPITAL MANAGEMENT CORP

T. ROSE & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/2010

Current Firm

PILOT CAPITAL MANAGEMENT CORP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PILOT CAPITAL MANAGEMENT CORP

TRUST BUT VERIFY

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