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William Joseph Cummings

Morgan Stanley

Birmingham, AL

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2019-08-23
TX RA APPROVED_RES 2019-08-23
  • AL RA
    APPROVED
    Since 2019-08-23
  • TX RA
    APPROVED_RES
    Since 2019-08-23

Branch Locations

740 Shades Creek Parkway, Birmingham, AL 35209 • 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
Compass Bank Birmingham AL 05/2004 08/2019
Bbva Wealth Solutions Inc. Birmingham AL 10/2010 08/2019
Bbva Securities Inc. Birmingham AL 05/2013 08/2019
Bbva Compass Insurance Agency, Inc. Austin TX 06/2004 08/2019
Morgan Stanley Birmingham AL 08/2019 Present
Morgan Stanley Private Bank, N.A New York NY 10/2019 Present
  • 05/2004 → 08/2019
    Compass Bank
    Birmingham, AL
  • 10/2010 → 08/2019
    Bbva Wealth Solutions Inc.
    Birmingham, AL
  • 05/2013 → 08/2019
    Bbva Securities Inc.
    Birmingham, AL
  • 06/2004 → 08/2019
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 08/2019 → Present
    Morgan Stanley
    Birmingham, AL
  • 10/2019 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2010-10-15 → 2019-08-26
    Pnc Managed Account Solutions, Inc.
    Houston, TX
    Houston, TX
    Birmingham, AL
  • 2010-04-06 → 2010-10-15
    St Johns Wealth Management
    Birmingham, AL
  • 2004-09-03 → 2010-03-16
    Bbva Compass Investment Solutions, Inc
    Birmingham, AL
    Birmingham, AL
    Birmingham, AL
    Pelham, AL
    Birmingham, AL
    Birmingham, AL
    Pelham, AL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-04-25
  • S63 Uniform Securities Agent State Law Examination
    1997-04-25
Other Names
  • Bill Cummings

View on SEC IAPD

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