Christopher S. Cummings
Professional summary
Christopher Scott Cummings, who also goes by Chris Scott Cummings, Christopher Cummings, is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Greenwood Village, Colorado.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2013. Christopher has worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Scott Cummings's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 7, 2022 - Present
ETC BROKERAGE SERVICES, LLC
Office #1: 6000 Greenwood Plaza Blvd. Suite 100, Greenwood Village, CO 80111February 15, 2019 - October 24, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 8, 2019 - October 23, 2019
FIDELITY BROKERAGE SERVICES LLC
January 8, 2018 - July 6, 2018
USAA INVESTMENT SERVICES COMPANY
December 19, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
May 6, 2013 - July 6, 2018
USAA FINANCIAL ADVISORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/10/2024)
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(9/17/2024)
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(9/8/2022)
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(9/13/2024)
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(2/11/2025)
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Exams
Series 99TO
Date: 9/12/2024
Operations Professional ExaminationFINRA
Current Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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