Sean Cummings

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CRD#: 6055728

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.

Sean Cummings, CFP®, who also goes by Sean Michael Cummings, Sean Cummings, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2013. Sean had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean Michael Cummings | Sean Cummings

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®

CFP^®

Certified Financial Planner

Experience

Past

May 2, 2016 - June 14, 2017

SPECTRUM ASSET MANAGEMENT INC

RIA

CRD#: 111007

NEWPORT BEACH, CA

Past

April 27, 2015 - June 30, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TUSTIN, CA

Past

April 27, 2015 - June 30, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TUSTIN, CA

Past

August 16, 2013 - May 14, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

TUSTIN, CA

Past

January 1, 2013 - May 14, 2014

LPL FINANCIAL LLC

CRD#: 6413

TUSTIN, 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".

SPECTRUM ASSET MANAGEMENT INC

CRD#: 111007 / SEC#: 801-30377

RIA

Registered Investment Advisory firm - (9/4/1987 Approved)

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

State Security Law Exam

IAR

Series 66

Date: 8/15/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/26/2012

General Securities Representative Examination

Current Firm

SPECTRUM ASSET MANAGEMENT INC

CRD#: 111007 / SEC#: 801-30377

RIA

Registered Investment Advisory firm - (9/4/1987 Approved)

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Contact information

Main Address

1301 Dove Street Suite 720, Newport Beach, CA 92660-2453

Mailing Address

Phone number

(949) 717-3400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	941
AUM (Assets Under Management)	$ 640,063,728

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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Sean Cummings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPECTRUM ASSET MANAGEMENT INC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

SPECTRUM ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2013

SIE

Date: 6/30/2015

Series 7

Date: 12/26/2012

Current Firm

SPECTRUM ASSET MANAGEMENT INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPECTRUM ASSET MANAGEMENT INC

TRUST BUT VERIFY

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