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BM

Bari S. Mayer

CUMBERLAND SECURITIES LLC
Chicago, IL 60540
Some features on this profile are disabled
CRD#: 6470069
BM

Professional summary

Bari Shiva Mayer, who also goes by Shiva Mayer, is a registered financial professional currently at CUMBERLAND SECURITIES LLC located in Chicago, Illinois.

Bari is registered as a RR (Registered Representative) and started their career in finance in 2015. Bari has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shiva Mayer

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) - BD

Click below to view Bari Shiva Mayer's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 7, 2024 - Present

CUMBERLAND SECURITIES LLC

Office #1: 540 W. Madison St., Chicago, IL 60540
BD
CRD#: 13970
Chicago, IL
Past

September 28, 2017 - May 7, 2024

DRW SECURITIES, L.L.C.

BD
CRD#: 45908
AUSTIN, TX
Past

August 19, 2015 - September 29, 2017

RGM SECURITIES, LLC

BD
CRD#: 148086
AUSTIN, TX

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.

Exams

State Security Law Exam
RR
Series 63
Date: 12/17/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/8/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CUMBERLAND SECURITIES LLC
A&A SECURITIES LLC | NORTH SUFFOLK WEALTH MANAGEMENT | JAMES W. HUMBARD | HUMBARD, JAMES W. | CUMBERLAND SECURITIES LLC | A&A SECUTITIES LLC

CRD#: 13970 / SEC#: , 8-31215

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
540 W. Madison St., Chicago, IL 60540
Mailing Address
540 W. Madison St., Chicago, IL 60540
Phone number
(312) 542-1000
Established
Washington since 07/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DRW HOLDINGS, LLCOWNER
ARMOUR II, ROBERT WILLIAMCCO4447215
CALIXTO, CHRIZITACHIEF FINANCIAL OFFICER6564070
FOWLER, SCOTT ALANFINOP, PFO, POO3004363
GARCHIK, ADAM TODDCEO2967638

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.

Company Information

CUMBERLAND SECURITIES LLC

CRD#: 13970Chicago, IL 60540

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