Bill Cummings
Bill Cummings is the Senior Executive Vice President, Chief Operating Officer and General Counsel of Infinex Investments, Inc. In this position, Bill leads the overall Operations and Compliance functions of the Firm. He also supervises the Information Security functions of Infinex and is responsible for all legal matters. Bill joined Infinex and has served the Firm in these roles since 2004. Since he became associated with the Firm, Infinex has transitioned from a small, regional brokerage firm servicing a number of community banks and their customers in Connecticut and Massachusetts to a national brokerage and investment advisory firm with more than 150 bank partners across the country. In October of 2022, Infinex’s parent company was acquired by Advisor Group Holdings, Inc.
Prior to joining Infinex, Bill was a partner in the Hartford office of Tyler Cooper & Alcorn, LLP, a Connecticut-based law firm, and was the Chairman of the firm’s Broker-Dealer and Investment Management practice group. At Tyler Cooper, Bill’s practice focused on the operation and regulation of broker-dealers, investment advisers, trust companies, private investment funds and other financial service companies under federal and state law. A significant portion of Bill’s practice focused on affiliations and other marketing arrangements between banks and broker-dealers, investment advisers and insurance companies and agencies. He also counselled clients on a wide variety of regulatory and transactional matters, including the development of new products and services; federal and state registration and compliance issues; and mergers, acquisitions and joint ventures involving broker-dealers, investment advisers and others.
Bill is a frequent speaker on a variety of investment management topics, including fiduciary obligations of broker-dealers and investment advisers, customer privacy concerns and other regulatory issues. Bill received his law degree from the State University of New York at Buffalo, his MBA with honors from SUNY/Buffalo Graduate School of Management, and his B.S. in Accounting from SUNY/Buffalo. He is a member of the Connecticut, New York and Pennsylvania Bars, and is a member of the American Bar Association and the Connecticut Bar Association.