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SR

Stephen J. Randles-moss

CUMBERLAND SECURITIES
Chicago, IL 60540
Some features on this profile are disabled
CRD#: 7269128
SR

Professional summary

Stephen J Randles-moss, who also goes by Stephen J Moss, Stephen Joseph Randles-moss, Stephen Randles-moss, is a registered financial professional currently at CUMBERLAND SECURITIES LLC located in Chicago, Illinois.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2020. Stephen has worked at 3 firms and has passed the Series 63, Series 34, Series 3, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen J Moss | Stephen Joseph Randles-Moss | Stephen Randles-Moss

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 Stephen J Randles-moss'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 13, 2026 - Present

CUMBERLAND SECURITIES LLC

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

February 6, 2023 - April 8, 2026

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Chicago, IL
Past

October 6, 2020 - July 6, 2023

TD AMERITRADE, INC.

BD
CRD#: 7870
CHICAGO, IL

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: 10/14/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 34
Date: 11/23/2022
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 3/4/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/6/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/11/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/1/2025
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)

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

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Company Information

CUMBERLAND SECURITIES LLC

CRD#: 13970Chicago, IL 60540

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