Christopher J. Cummock

PARALLEL ADVISORS

San Francisco, CA 94105

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CRD#: 6820380

Professional summary

Christopher John Cummock, who also goes by Chris Cummock, Christopher Cummock, is a registered financial advisor currently at PARALLEL ADVISORS, LLC located in San Francisco, California.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Christopher has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Cummock | Christopher Cummock

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.

Waterfall Prospectus Investors; investment-related; Sausalito, CA, startup and angel investing consulting; Founder and Principal; started 09/2023; approximately 10 hours per month, 5 hours during securities trading hours; advising startups on capital raise and early stage development.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John Cummock's CRS (Customer Relationship Summary).

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

December 6, 2024 - Present

PARALLEL ADVISORS, LLC

Office #1: 150 Spear Street Suite 1600, San Francisco, CA 94105

RIA

CRD#: 140800

San Francisco, CA

Past

May 28, 2024 - June 17, 2024

O'DONNELL FINANCIAL SERVICES, LLC

RIA

CRD#: 172520

SAN RAFAEL, CA

Past

May 3, 2024 - June 17, 2024

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

San Rafael, CA

Past

May 3, 2024 - June 17, 2024

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

San Rafael, CA

Past

September 28, 2023 - May 7, 2024

FINALIS SECURITIES LLC

CRD#: 305908

NEW YORK, NY

Past

December 21, 2021 - September 19, 2023

STONEHAVEN, LLC

CRD#: 118913

NEW YORK, NY

Past

June 16, 2021 - October 22, 2023

MC AUREATE

RIA

CRD#: 313700

HEALDSBERG, CA

Past

March 31, 2020 - June 18, 2021

TAMALPAIS ASSET MANAGEMENT

RIA

CRD#: 301017

LARKSPUR, 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".

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/6/2024)

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

Series 63

Date: 5/24/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/10/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/20/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/21/2021

Securities Industry Essentials Examination

Current Firm

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

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Contact information

Main Address

150 Spear Street Suite 1600, San Francisco, CA 94105

Mailing Address

Phone number

(866) 627-6984

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	14,928
AUM (Assets Under Management)	$ 8,735,387,332

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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Advisor Monitoring

Firm Stability Insights

Christopher J. Cummock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John Cummock's CRS (Customer Relationship Summary).

Certified licenses

Experience

O'DONNELL FINANCIAL SERVICES, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

FINALIS SECURITIES LLC

STONEHAVEN, LLC

MC AUREATE

TAMALPAIS ASSET MANAGEMENT

Primary Firm SEC Registration

PARALLEL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/24/2022

Series 65

Date: 3/10/2020

Series 7TO

Date: 12/20/2021

SIE

Date: 7/21/2021

Current Firm

PARALLEL ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARALLEL ADVISORS, LLC

TRUST BUT VERIFY

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