William M. Cummings
Professional summary
William Marshall Cummings, who also goes by Billy Cummings, William Cummings, is a registered financial advisor currently at TFO FAMILY OFFICE PARTNERS located in Phoenix, Arizona.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. William has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Marshall Cummings's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2021 - Present
TFO FAMILY OFFICE PARTNERS
Office #1: 5060 North 40th Street Suite 200, Phoenix, AZ 85018November 23, 2019 - May 10, 2021
UBS FINANCIAL SERVICES INC.
October 3, 2019 - May 10, 2021
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
TFO FAMILY OFFICE PARTNERS
CRD#: 159440 / SEC#: 801-72840
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/14/2021)
(4/6/2022)
Exams
Series 7TO
Date: 11/5/2022
General Securities Representative ExaminationCurrent Firm
TFO FAMILY OFFICE PARTNERS
CRD#: 159440 / SEC#: 801-72840
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,939 |
| AUM (Assets Under Management) | $ 4,167,483,722 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 09/20/2023 | ||
| 01/23/2023 |
Red Flags
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