Robert Cummings
Professional Summary
Robert Cummings was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1947 - 2007. Robert had worked at 2 firms.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
60 years in the financial services industry
Current & Past Employments
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Current Firm
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
Contact Information
Main Address
56 Exchange Terrace Suite 300 Suite 300, Providence, RI 02903-1772Mailing Address
56 Exchange Ter Ste 300, Providence, RI 02903-1772Phone Number
(401) 421-8900Established
Rhode Island since 12/13/1965Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
13SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
FINRA licenses (35 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
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
490AUM (Assets Under Management)
$487,318,974Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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