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Detailed Report
TODD ALAN CUMMINGS
CRD#: 4027892
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200520062007200820092010201120122013201420152 FIRMS2006 - 2009 (3 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2014 (1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2005 - 2006 (1 year)
Disclosure(s)
View By:
9/30/2014
Regulatory
Final
Previous Registration(s)
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 10/01/2012 - 07/14/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) FORT WORTH, TX
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 09/30/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) FORT WORTH, TX
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 06/22/2006 - 10/08/2009 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) FORT WORTH, TX
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 06/22/2006 - 10/08/2009 TD AMERITRADE, INC. (CRD#:7870) FORT WORTH, TX
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 03/15/2005 - 03/15/2006 STRATEGIC ADVISERS, INC. (CRD#:104555) MERRIMACK, NH
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.