Shane W. Cummings

HALBERT HARGROVE

Denver, CO 80237

Some features on this profile are disabled

CRD#: 5136560

Professional summary

Shane W Cummings, AIF®, CFP® is a registered financial advisor currently at HALBERT HARGROVE located in Denver, Colorado.

Shane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Shane has worked at 2 firms and has passed the Series 66, Series 7 and Series 6 exams.

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.

HALBERT HARGROVE/RUSSELL LLC. THE BUSINESS IS INVESTMENT RELATED. LOCATED AT 111 W OCEAN BLVD SUITE 2300, LONG BEACH CA 90802. THE FIRM IS A REGISTERED INVESTMENT ADVISOR. POSITION-RELATIONSHIP MANAGER/FINANCIAL ANALYST. 02/22/06. HOURS MONTHY 156. TRADING HOURS 117. PROVIDING PORTFOLIO REVIEW AND CLIENT SERVICES ALSO WORKS IN THE OPERATIONS DEPARTMENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane W Cummings'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

December 20, 2006 - Present

HALBERT HARGROVE

Office #1: 4643 S Ulster Street Suite 220, Denver, CO 80237

RIA

CRD#: 105515

Denver, CO

Past

August 25, 2006 - December 31, 2010

HALBERT, HARGROVE & CO.

CRD#: 2112

LONG BEACH, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HALBERT HARGROVE

FUTURE-WISE | HALBERT, HARGROVE/RUSSELL LLC | HALBERT HARGROVE RUSSELL LLC | HALBERT HARGROVE GLOBAL ADVISORS, LLC | HALBERT HARGROVE

CRD#: 105515 / SEC#: 801-33048

RIA

Registered Investment Advisory firm - (10/13/1988 Approved)

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

California
(12/20/2006)

IAR

Colorado
(6/27/2016)

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 66

Date: 12/19/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/6/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/24/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HALBERT HARGROVE

FUTURE-WISE | HALBERT, HARGROVE/RUSSELL LLC | HALBERT HARGROVE RUSSELL LLC | HALBERT HARGROVE GLOBAL ADVISORS, LLC | HALBERT HARGROVE

CRD#: 105515 / SEC#: 801-33048

RIA

Registered Investment Advisory firm - (10/13/1988 Approved)

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

111 West Ocean Boulevard 23rd Floor, Long Beach, CA 90802-7908

Mailing Address

P.o. Box 1070, Long Beach, CA 90801-9931

Phone number

(562) 435-5657

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,671
AUM (Assets Under Management)	$ 3,516,418,609

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.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Shane W. Cummings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane W Cummings's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALBERT HARGROVE

HALBERT, HARGROVE & CO.

Primary Firm SEC Registration

HALBERT HARGROVE

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2006

Series 7

Date: 12/6/2006

Series 6

Date: 8/24/2006

Current Firm

HALBERT HARGROVE

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HALBERT HARGROVE

TRUST BUT VERIFY

Similar Advisors