Stephen P. Cummard
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.
Stephen Paul Cummard, CIMA®, who also goes by Stephen Cummard, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2013. Stephen had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2018 - August 12, 2022
GRIFFIN CAPITAL SECURITIES, LLC
April 1, 2016 - June 28, 2017
PRUCO SECURITIES, LLC.
December 9, 2014 - December 31, 2015
ARQUE CAPITAL, LTD.
December 3, 2014 - March 31, 2016
ARQUE CAPITAL, LTD.
May 29, 2014 - July 30, 2014
KALOS CAPITAL, INC.
May 6, 2014 - July 30, 2014
KALOS MANAGEMENT
September 19, 2013 - May 2, 2014
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GRIFFIN CAPITAL SECURITIES, LLC
CRD#: 37739 / SEC#: , 8-47891
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
