• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JOSHUA WILLIAM CUMMINS
CRD#: 4033084
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3011 Townsgate Road
Suite 300
Wetlake Village, CA 91361
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2005 (2 years)2 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - 2024 (15 years)2 FIRMS2024 - Present (<1 year)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1999 - 2003 (3 years)IADONALDSON LUFKIN & JENRETTE SE... (CRD# 7560)2003 - 2003 (<1 year)
Disclosure(s)
View By:
1/12/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 7/5/2024

B
Maine 7/5/2024

B
California 7/5/2024

B
Nevada 7/5/2024

IA
California 7/10/2024

B
New York 7/5/2024

B
Colorado 7/5/2024

B
North Carolina 8/7/2024

B
Connecticut 7/5/2024

B
Oregon 7/5/2024

B
Hawaii 7/12/2024

B
Texas 7/5/2024

B
Indiana 7/10/2024

IA
Texas 7/5/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3011 Townsgate Road Suite 300, Wetlake Village, CA 91361
Registered with this firm since 7/5/2024

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3011 Townsgate Road Suite 300, Wetlake Village, CA 91361
Registered with this firm since 7/5/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/12/2009 - 07/12/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WESTLAKE VILLAGE, CA
B
06/12/2009 - 07/12/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WESTLAKE VILLAGE, CA
IA
02/04/2005 - 07/01/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) CENTURY CITY, CA
B
02/04/2005 - 07/01/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) CENTURY CITY, CA
IA
01/17/2003 - 03/01/2005 CREDIT SUISSE FIRST BOSTON (CRD#:816) LOS ANGELES, CA
B
01/17/2003 - 03/01/2005 CREDIT SUISSE FIRST BOSTON LLC (CRD#:816) NEW YORK, NY
IA
01/09/2003 - 01/17/2003 DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) LOS ANGELES, CA
B
10/25/1999 - 01/17/2003 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.