Charles W. Cummins
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.
Charles Walden Cummins, who also goes by Charles W Cummins, Chuck Cummins, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2001 - July 29, 2009
LIGHTHOUSE FINANCIAL LLC
January 1, 1999 - October 20, 2011
CETERA WEALTH SERVICES, LLC
May 17, 1984 - December 31, 2012
CETERA WEALTH SERVICES, LLC
November 11, 1974 - August 20, 1984
WORLD CAPITAL BROKERAGE, INC.
November 14, 1973 - November 30, 1974
SOUTHMARK FINANCIAL SERVICES, INC.
August 7, 1973 - December 28, 1973
NORTH AMERICAN EQUITY CORPORATION
June 15, 1973 - December 28, 1973
INDEPENDENT SECURITIES CORPORATION
November 25, 1969 - June 15, 1973
EQUITY FUNDING SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 11/19/1969
Registered Representative ExaminationCurrent Firm
LIGHTHOUSE FINANCIAL LLC
CRD#: 109251 / SEC#: 801-57055
Contact information
Red Flags
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