John M. 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.
John Michael Cummins, who also goes by Mike Cummins, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 14 firms and has passed the Series 65, Series 63, Series 6 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
November 29, 2010 - August 18, 2025
PORTFOLIO DESIGN SERVICES, LLC
January 9, 2006 - October 5, 2010
CERTIFIED ADVISORY CORP
January 6, 2006 - October 5, 2010
SIGNATURE ESTATE SECURITIES, LLC
September 13, 2004 - December 31, 2005
LEGACY PLANNING ADVISORS, LLC
July 7, 2004 - February 14, 2005
WINDWARD SECURITIES CORPORATION
January 5, 2004 - November 11, 2009
VALMARK ADVISERS, INC.
February 12, 2001 - November 7, 2002
VALMARK ADVISERS, INC.
July 26, 1999 - July 2, 2002
VALMARK SECURITIES, INC.
February 25, 1999 - July 26, 1999
OSAIC FA, INC.
January 28, 1998 - January 12, 1999
VOYA FINANCIAL PARTNERS, LLC
October 31, 1997 - January 5, 1998
VOYA FINANCIAL ADVISORS, INC.
October 15, 1992 - March 7, 1994
WS GRIFFITH SECURITIES, INC.
January 4, 1991 - October 20, 1992
THE VARIABLE ANNUITY MARKETING COMPANY
June 6, 1990 - October 16, 1992
VOYA FINANCIAL ADVISORS, INC.
March 1, 1983 - June 13, 1990
OLD SLIP CAPITAL MANAGEMENT, INC.
October 2, 1973 - July 26, 1981
GENERAL AMERICAN LIFE INSURANCE COMPANY
Primary Firm SEC Registration
PORTFOLIO DESIGN SERVICES, LLC
CRD#: 131506 / SEC#: 801-80561
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/26/1973
Registered Representative ExaminationCurrent Firm
PORTFOLIO DESIGN SERVICES, LLC
CRD#: 131506 / SEC#: 801-80561
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 256 |
| AUM (Assets Under Management) | $ 149,734,832 |
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.
