Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Siobhan? Claim Your ProfileSiobhan Spillane Cummings is a financial professional with over 17 years of experience in the industry. Siobhan is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has held previous positions at Sanders Morris Harris Inc. and Sanford C. Bernstein & Co., LLC. Siobhan is licensed in multiple states including New Jersey, New York and Texas and holds several professional certifications.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NJ
07/28/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FLORHAM PARK NJ)
NJ
01/22/2010 - 02/17/2015
SANDERS MORRIS HARRIS INC. (SADDLE BROOK NJ)
NY
05/05/2004 - 02/18/2010
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
BOTH
Issued 11/13/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/13/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/08/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/20/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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