William H. Cummings
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.
William Howard Cummings, who also goes by Bill Cummings, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 12 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2006 - November 11, 2008
MIDAMERICA FINANCIAL SERVICES, INC.
February 12, 2003 - September 12, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 18, 1997 - February 2, 2001
WMA SECURITIES, INC.
April 5, 1995 - April 14, 1997
LOCUST STREET SECURITIES, INC.
January 1, 1994 - November 15, 1994
SUNPOINT SECURITIES, INC.
May 9, 1991 - December 31, 1991
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
August 17, 1988 - May 17, 1989
INDIVIDUAL'S SECURITIES LTD.
February 12, 1988 - June 6, 1988
INVEST FINANCIAL CORPORATION
February 23, 1987 - December 8, 1987
UBS FINANCIAL SERVICES INC.
June 25, 1986 - February 27, 1987
PIPER SANDLER & CO.
November 22, 1985 - June 23, 1986
MUTUAL SERVICE CORPORATION
April 13, 1983 - November 26, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
September 24, 1982 - May 23, 1983
RESOURCE DEVELOPMENT INTERNATIONAL, LTD.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MIDAMERICA FINANCIAL SERVICES, INC.
CRD#: 47351 / SEC#: , 8-51758
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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