Brian Cumming, financial advisor Clifton Park NY
77 score

Brian Cumming

CRD Number: 6169579
Current Firm: Axa Advisors, LLC

Brian Cumming (CRD# 6169579) is an Investment Advisor Representative working at Axa Advisors, LLC in Clifton Park, NY and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Axa Advisors LLC New York, NY May 2013 - Current 3
Esslor Usa/ge Schenectady, NY Sep 2012 - May 2013 < 1
Saratoga Vision Associates Saratoga Springs, NY May 2006 - Sep 2012 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Brian R. Cumming
Phone Number: 212-314-4600
Firm Website: http://axa.us.com
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    9,867
    MILLIONS
  • Total Number of Accounts
    40,093
    ACCOUNTS
  • Average Account Value
    $246,096
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
77

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