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William Sinclair Cummings

Investment Adviser Representative at J.M. ARBOUR, LLC

Gardiner, MECRD #6800327Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
8 yrs
States Registered
1 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Maine
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 4/2/2022
Series 66
Uniform Combined State Law Examination
Passed 2/11/2020
Series 63
Uniform Securities Agent State Law Examination
Passed 8/14/2017
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/8/2017

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 to $500,0001.50%
$500,000 to $1,000,0001.25%
$1,000,000 to $5,000,0001.00%
$5,000,000 to $10,000,0000.90%
Over $10,000,000
Source

J.M. Arbour, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

J.M. ARBOUR, LLCCurrent
6/24/2022Gardiner, ME
FOUNDATIONS INVESTMENT ADVISORS LLC
12/23/20208/4/2022Hallowell, ME
AXA ADVISORS, LLC
2/12/20204/22/2020Rochester, NY

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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View J.M. ARBOUR, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. William Sinclair Cummings has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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