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

William Cummins is a financial professional at Metlife Securities Inc., a broker-dealer with over 6,550 registered representatives nationwide. William has held an industry securities registration for 13 years and is subject to SEC and FINRA oversight.

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Answers and Guides

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Top Answers

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

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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.

Experience and Employment History

Employer Years Dates
Metlife Securities Inc. 13 years, 11 months May 2000 - Present
Metropolitan Insurance Co 13 years, 11 months May 2000 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/27/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

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.

Advisor Exams

Exam Series Passed Date
General Securities Representative Examination Series 7 05/13/2009
Uniform Securities Agent State Law Examination Series 63 04/05/2006
Uniform Investment Adviser Law Examination Series 65 06/21/2005
Investment Company Products/Variable Contracts Representative Examination Series 6 08/02/2000

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees