Geraldine Butera Cunningham
Professional Summary
Geraldine Butera Cunningham, who also goes by Gerry Cunningham, is a registered financial advisor currently at FIRST FINANCIAL ADVISORY SERVICES INC located in Westerly, Rhode Island and CETERA ADVISORS LLC located in Westerly, Rhode Island. Geraldine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Geraldine has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 51...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Gerry Cunningham
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
43 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FAR FLUNG CHANGE | FIRST FINANCIAL ADVISORY SERVICES INC
Contact Information
Main Address
85 Beach Street, Westerly, RI 02891Phone Number
(401) 596-0193# of Employees
7SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,071AUM (Assets Under Management)
$278,038,908Similar Advisors
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
FAR FLUNG CHANGE | FIRST FINANCIAL ADVISORY SERVICES INC
State Registrations and Notice Filings
(9/8/2022)
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(6/22/1992)
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(4/14/1994)
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(11/22/2022)
(2/18/2026)
(9/8/2022)
(9/8/2022)
(1/25/2017)
(9/8/2022)
(1/1/1993)
(9/8/2022)
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(8/28/2015)
(9/8/2022)
(9/8/2022)
(3/6/2007)
(9/8/2022)
(9/8/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Geraldine Butera Cunningham's CRS (Customer Relationship Summary).