linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Kristen Rose Cummins

Barclays Capital Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Kristen? Claim Your Profile

About Kristen Rose Cummins

Kristen Cummins is a financial professional with over 17 years of experience in the industry. Kristen is currently registered with Barclays Capital Inc. in New York, NY. Kristen has previously held positions with MORGAN STANLEY & CO. INCORPORATED and MORGAN STANLEY DW INC. Kristen holds FINRA Series 7, 52TO, and SIE licenses as well as state licenses in all 50 states. Kristen is a valuable asset to any client seeking a knowledgeable and experienced financial advisor.

Firm Information

Kristen Cummins is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Kristen Cummins’s Registration & Firm History

NY

08/14/2009 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

12/09/2005 - 08/12/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NY

02/07/2005 - 11/21/2005

MORGAN STANLEY DW INC. (PURCHASE NY)

Not sure if Kristen Rose Cummins is right for you?

Licenses & Designations

BC

Issued 05/02/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/04/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kristen Rose Cummins.
Not sure if Kristen Rose Cummins is right for you?