Bruce Joseph Cumby

Employer firm

Eagle Strategies LLC CRD 110826

$32.0B regulatory AUM 6,662 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Periodicals / newsletters
Educational seminars

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

Current Employers

Eagle Strategies Llc

51 Madison Avenue 12Th Floor, New York, NY 10010 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2000-06-09

PA RA
APPROVED

Since 2000-06-09

Branch Locations

3732 West Chester Pike, Newtown Square, PA 19073 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
New York Life Ins Co	Horsham	PA	08/1980	Present
Nylife Securities Llc	Horsham	PA	11/1983	Present
Cumby, Spencer & Associates Exit Planning Strategies	Havertown	PA	09/2004	Present
Cumby, Spencer & Associates Financial Group	Havertown	PA	09/2013	Present

08/1980 → Present

New York Life Ins Co

Horsham, PA
11/1983 → Present

Nylife Securities Llc

Horsham, PA
09/2004 → Present

Cumby, Spencer & Associates Exit Planning Strategies

Havertown, PA
09/2013 → Present

Cumby, Spencer & Associates Financial Group

Havertown, PA

Other Businesses

[APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS: INVESTMENT RELATED; INSURANCE BROKER; START DATE 11/2005] [CUMBY, SPENCER & ASSOCIATES EXIT PLANNING STRATEGIES;DBA; INVESTMENT RELATED; START DATE 09/2004] [OPERATING UNDER THE DBA NAME OF CUMBY, SPENCER & ASSOCIATES FINANCIAL GROUP FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS, INSURANCE RELATED; REGISTERED REPRESENTATIVE; 500 DARBY ROAD HAVERTOWN, PA 19083; START DATE: 9/25/13]

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-04-18
S63	Uniform Securities Agent State Law Examination	1985-02-11

S65 Uniform Investment Adviser Law Examination

2000-04-18
S63 Uniform Securities Agent State Law Examination

1985-02-11

View on SEC IAPD