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William Neil Cummins

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Information

Other Names: Williams Cummins, Wm Neil
Firm:
Type: Dual Registration
Description

William Cummins is a financial professional at Metlife Securities Inc., a broker-dealer with over 6,150 registered representatives nationwide. William has held an industry securities registration for 14 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Metlife Securities Inc. 14 years, 7 months May 2000 - Present
Metropolitan Insurance Co 14 years, 7 months May 2000 - Present
Exams
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 05/13/2009
Uniform Securities Agent State Law ExaminationSeries 63 04/05/2006
Uniform Investment Adviser Law ExaminationSeries 65 06/21/2005
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 08/02/2000

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

William Neil Cummins has not answered any questions on Financial Q&A.

Top Guides

William Neil Cummins has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Other
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
11/04/2014
10/05/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees