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Joseph Hugh Mcginn

Brown, Lisle/Cummings, Inc.

Providence, RI

CRD 2354164

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Employer firm

Brown, Lisle/Cummings, Inc. CRD 1331

$487M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Brown, Lisle/Cummings, Inc.

56 Exchange Terrace Suite 300, Providence, RI 02903-1772 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2007-05-08
  • RI RA
    APPROVED
    Since 2007-05-08

Branch Locations

56 Exchange Terrace Suite 300, Providence, RI 02903-1772 • 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
Brown, Lisle/Cummings, Inc. Providence RI 06/1996 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-05-07
S63 Uniform Securities Agent State Law Examination 1993-05-28
  • S65 Uniform Investment Adviser Law Examination
    2007-05-07
  • S63 Uniform Securities Agent State Law Examination
    1993-05-28
Designations
  • Certified Financial Planner

View on SEC IAPD

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