Robert Cummings

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CRD#: 58623

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.

Robert Cummings was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1947. Robert had worked at 2 firms .

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.

The advisor shows no other business activity.

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

December 28, 1984 - August 24, 2007

BROWN, LISLE/CUMMINGS, INC.

CRD#: 1331

PROVIDENCE, RI

Past

April 16, 1947 - December 26, 1984

CUMMINGS & CO., INC.

CRD#: 1562

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".

BROWN, LISLE/CUMMINGS, INC.

BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC

CRD#: 1331 / SEC#: 801-121156, 8-12716

RIA

Registered Investment Advisory firm - SEC (5/6/2021 Approved)

Connecticut

Registered Investment Advisory firm - SEC (5/11/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/11/2010 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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).

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.

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

Current Firm

BROWN, LISLE/CUMMINGS, INC.

BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC

CRD#: 1331 / SEC#: 801-121156, 8-12716

RIA

Registered Investment Advisory firm - SEC (5/6/2021 Approved)

Connecticut

Registered Investment Advisory firm - SEC (5/11/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/11/2010 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Turks Head Place - Suite 800 Suite 800, Providence, RI 02903

Mailing Address

One Turks Head Place - Suite 800, Providence, RI 02903-2273

Phone number

(401) 421-8900

Established

Rhode Island since 12/13/1965

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (13 States and Territories)

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BLC WRAP APPENDIX I (3/3/2025)

DISCLOSURE BROCHURE_BROWN, LISLE/CUMMINGS, INC. (3/3/2025)

Direct owners and executive officers

Name	Position	CRD#
IZZI, DAVID ANTHONY	PRESIDENT; SECRETARY; TREASURER; CHIEF COMPLIANCE OFFICER	2027961
LISLE, SCOTT SAWYER	VICE PRESIDENT	2220388
MARGINSON, JOHN ARTHUR	VICE PRESIDENT	860727
MCGINN, JOSEPH HUGH JR	VICE PRESIDENT	2354164
MURPHY, LOUIS GEORGE JR	VICE PRESIDENT	1162141
TRACY, CLIFFORD BURRELL JR	VICE PRESIDENT	1213468

Regulatory assets under management

Total Number of Accounts	445
AUM (Assets Under Management)	$ 414,675,665

Disclosures

Regulatory Event

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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Robert Cummings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROWN, LISLE/CUMMINGS, INC.

CUMMINGS & CO., INC.

Primary Firm SEC Registration

BROWN, LISLE/CUMMINGS, INC.

State Registrations and Notice Filings

Exams

Current Firm

BROWN, LISLE/CUMMINGS, INC.

Contact information

SEC notice filing (13 States and Territories)

FINRA licenses (35 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BROWN, LISLE/CUMMINGS, INC.

TRUST BUT VERIFY

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