KC
Kayla R. Cummings
LUMENT SECURITIES
San Francisco, CA 94108
Some features on this profile are disabled
CRD#: 6871317
KC
Professional summary
Kayla Rae Cummings is a registered financial professional currently at LUMENT SECURITIES, LLC located in San Francisco, California.
Kayla is registered as a RR (Registered Representative) and started their career in finance in 2021. Kayla has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Kayla Rae Cummings'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®
NoneExperience
Current
November 14, 2023 - Present
LUMENT SECURITIES, LLC
Office #1: 601 California St Suite 1400, San Francisco, CA 94108BD
CRD#: 14840
San Francisco, CA
Past
July 2, 2021 - July 18, 2022
UBS SECURITIES LLC
BD
CRD#: 7654
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/17/2023)
RR
Alaska(11/21/2023)
RR
Arizona(11/21/2023)
RR
Arkansas(11/27/2023)
RR
California(11/15/2023)
RR
Colorado(11/15/2023)
RR
Connecticut(11/15/2023)
RR
Delaware(11/27/2023)
RR
District of Columbia(11/16/2023)
RR
Florida(11/15/2023)
RR
Georgia(11/16/2023)
RR
Hawaii(11/15/2023)
RR
Idaho(11/15/2023)
RR
Illinois(12/4/2023)
RR
Indiana(11/16/2023)
RR
Iowa(11/17/2023)
RR
Kansas(11/15/2023)
RR
Kentucky(11/15/2023)
RR
Louisiana(11/17/2023)
RR
Maine(11/15/2023)
RR
Maryland(11/17/2023)
RR
Massachusetts(11/15/2023)
RR
Michigan(11/16/2023)
RR
Minnesota(11/14/2023)
RR
Mississippi(11/16/2023)
RR
Missouri(11/15/2023)
RR
Montana(11/15/2023)
RR
Nebraska(11/17/2023)
RR
Nevada(11/20/2023)
RR
New Hampshire(11/17/2023)
RR
New Jersey(11/15/2023)
RR
New Mexico(11/16/2023)
RR
New York(11/16/2023)
RR
North Carolina(11/15/2023)
RR
North Dakota(11/20/2023)
RR
Ohio(11/15/2023)
RR
Oklahoma(11/15/2023)
RR
Oregon(11/14/2023)
RR
Pennsylvania(11/15/2023)
RR
Puerto Rico(11/28/2023)
RR
Rhode Island(11/15/2023)
RR
South Carolina(11/21/2023)
RR
South Dakota(11/16/2023)
RR
Tennessee(11/16/2023)
RR
Texas(11/15/2023)
RR
Utah(11/15/2023)
RR
Vermont(11/16/2023)
RR
Virgin Islands(11/16/2023)
RR
Virginia(11/15/2023)
RR
Washington(11/15/2023)
RR
West Virginia(11/20/2023)
RR
Wisconsin(11/20/2023)
RR
Wyoming(11/17/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/2/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LUMENT SECURITIES, LLC
LUMENT SECURITIES | RED CAPITAL MARKETS, LLC | RED CAPITAL MARKETS, INC. | PROVIDENT SECURITIES & INVESTMENT COMPANY | OREC SECURITIES, LLC | LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Mailing Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Phone number
(614) 857-1600
Established
Delaware since 05/06/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
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.
