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Steven Cummins

Pershing LLC

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About Steven Cummins

Steven Cummins is a financial professional with over 2 years of experience in the industry. Steven is currently registered with Pershing LLC and Pershing Advisor Solutions LLC, both of which are active in the brokerage and investment advisory industries. Steven specializes in general securities and investment company products. Steven is licensed to provide investment advice and brokerage services in Colorado.

Firm Information

Steven Cummins is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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.

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Steven Cummins’s Registration & Firm History

FL

12/16/2022 - Present

Pershing LLC (LAKE MARY FL)

CO

01/04/2021 - 11/02/2022

BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC (DENVER CO)

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Licenses & Designations

BC

Issued 07/19/2021

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 12/26/2020

Series 7TO - General Securities Representative Examination

BC

Issued 12/26/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

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 Steven Cummins.
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