JACOB RANDALL COHAN CUMMINGS

JACOB RANDALL COHAN CUMMINGS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 9200 Indian Creek Parkway, Suite 500, Overland Park, KS, 66210.

JACOB RANDALL COHAN CUMMINGS has worked at LPL FINANCIAL LLC since September 20, 2013

Disclosure History

JACOB RANDALL COHAN CUMMINGS has 6 Disclosure Event(s).

Date: January 21, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: January 16, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 27, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: January 22, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: December 02, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: November 08, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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