Unclaimed
Allison Cummings is a financial advisor at Morgan Stanley. Allison has been in the financial services industry since 1998 and has a wide range of experience in providing financial advice to individuals, businesses, and institutions. Allison is registered with the Financial Industry Regulatory Authority (FINRA) and holds multiple licenses, including Series 7, 63, 24, 10, 9, 3, and 31. Allison is also a registered investment advisor in Ohio and Texas. Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
OH
06/01/2009 - Present
Morgan Stanley (Cincinnati OH)
OH
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CINCINNATI OH)
OH
07/19/2006 - 04/02/2007
MORGAN STANLEY DW INC. (CINCINNATI OH)
OH
01/01/2004 - 07/20/2006
PNC INVESTMENTS (CINCINNATI OH)
KY
06/01/2002 - 01/01/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
PA
08/27/1999 - 06/01/2002
PNC BROKERAGE CORP (PITTSBURGH PA)
CA
05/03/1999 - 08/30/1999
BLACKLEDGE, DUFFEY & FISET SECURITIES, INC. (ANAHIEM CA)
OH
10/20/1998 - 05/04/1999
PROVIDENT SECURITIES & INVESTMENT COMPANY (COLUMBUS OH)
IA
Issued 12/17/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2023
Series 24 - General Securities Principal Examination
BC
Issued 09/20/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/29/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/2009
Series 3 - National Commodity Futures Examination
BC
Issued 08/23/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 10/19/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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