Harry V. Cumberland
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harry Vaughn Cumberland, who also goes by Hal Cumberland, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1977. Harry had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - May 3, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 29, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - May 3, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 19, 1996 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
May 10, 1988 - April 29, 1996
AMERICAN DISCOUNT SECURITIES, INC.
January 20, 1987 - May 23, 1988
GS2 SECURITIES, INC.
May 6, 1980 - January 19, 1987
PRUDENTIAL EQUITY GROUP, LLC
August 2, 1978 - June 2, 1980
E. F. HUTTON & COMPANY INC
October 3, 1977 - December 31, 1979
B.C. CHRISTOPHER SECURITIES CO.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
