Best Investors Account Sign in

Sandra Cummings

Janney Montgomery Scott LLC

Warwick, RI

Claim This Profile
Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2017-09-06
TX RA APPROVED 2017-09-06
  • RI RA
    APPROVED
    Since 2017-09-06
  • TX RA
    APPROVED
    Since 2017-09-06

Branch Locations

475 Kilvert Street Suite 330, Warwick, RI 02886 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Providence RI 10/2009 09/2017
Bank Of America, N.A. Providence RI 09/2014 09/2017
Janney Montgomery Scott, Llc Providence RI 09/2017 03/2024
Janney Montgomery Scott Llc Warwick RI 03/2024 Present
Previous Registrations
  • 2009-10-23 → 2017-09-07
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Providence, RI
    Providence, RI
    Lincoln, RI
  • 2005-10-27 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Lincoln, RI
    Lincoln, RI
    Providence, RI
  • 2005-05-25 → 2005-08-17
    Morgan Stanley Dw Inc.
    Providence, RI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-24
  • S66 Uniform Combined State Law Examination
    2005-05-24
Designations
Other Names
  • Sandra Garcia

View on SEC IAPD

Other Firms

ARLEN CAPITAL, LLC
BENTLEY WEALTH ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CETERA INVESTMENT ADVISERS LLC
INTEGRATED WEALTH CONCEPTS LLC
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
MML INVESTORS SERVICES, LLC

Other Investors

ADAM MCCRYSTAL SULLIVAN
DAVID A NABB
PETER ANTHONY SULLIVAN
FRANK PETER MCGOFF
David Paul DiSanto
ROBERT ALBERT D'AMICO
JAMES MARTIN
Gregory Paul Rodger

Other Offices

ARLEN CAPITAL, LLC · WARWICK, RI
BENTLEY WEALTH ADVISORS, LLC · WARWICK, RI
AMERIPRISE FINANCIAL SERVICES, LLC · WARWICK, RI
CETERA INVESTMENT ADVISERS LLC · WARWICK, RI
CETERA INVESTMENT ADVISERS LLC · WARWICK, RI
INTEGRATED WEALTH CONCEPTS LLC · Warwick, RI
OSAIC WEALTH, INC. · WARWICK, RI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WARWICK, RI

More in Warwick, RI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor