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William Neil Cummins

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Other Names: Williams Cummins, Wm Neil
Type: SEC and FINRA Registered

William Cummins is a financial professional at Metlife Securities Inc., a broker-dealer with over 7,050 registered representatives nationwide. William has held an industry securities registration for 14 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Metlife Securities Inc. 15 years, 7 months May 2000 - Present
Metropolitan Insurance Co 15 years, 7 months May 2000 - Present
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 Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

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

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

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*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

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees