GC
Geraldine B. Cunningham
FIRST FINANCIAL ADVISORY SERVICES
WESTERLY, RI 02891
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CRD#: 1093600
GC
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 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gerry Cunningham
Other business activities
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.
1.) GERALDINE CUNNINGHAM; AGENT; INSURANCE; START DATE: 10/1/2010 2.) FIRST FINANCIAL ADVISORY SERVICES; REGISTERED INVESTMENT ADVISOR; PRESIDENT AND TREASURER; START DATE: 01/01/2012; 80 HOURS PER MONTH. 3.) ESTATE PLANNING COUNCIL OF RI; MEMBER; NON-PROFIT ORGANIZATION; START DATE: 07/01/1999 4.) GBC ASSOCIATES; MEMBER; HOLDING COMPANY; START DATE: 02/04/96; 4 HOURS PER MONTH. 5.) DAVID J & GERALDINE B CUNNINGHAM JTWROS; PARTNER; REAL ESTATE; START DATE: 06/01/2015; 4 HOURS PER MONTH. 6.) HARRY STOVER TRUST; TRUSTEE; START DATE: 2008 7.) FINRA ARBITRATION; ARBITRATOR; ARBITRATOR/EXPERT WITNESS; START DATE: 5/26/2005; 4 HOURS PER MONTH. 8.) RHODE ISLAND NOTARY; NOTARY PUBLIC; ATTORNEY/PARALEGAL/NOTARY SERVICES; START DATE: 06/20/2021; 4 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Geraldine Butera Cunningham's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 22, 1992 - Present
FIRST FINANCIAL ADVISORY SERVICES INC
Office #1: 85 Beach Street Building D - Unit 17a, Westerly, RI 02891RIA
CRD#: 105031
WESTERLY, RI
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 85 Beach Street, Westerly, RI 02891BD
CRD#: 10299
Westerly, RI
Past
January 1, 2000 - September 29, 2011
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
WESTERLY, RI
Past
December 15, 1994 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
WESTERLY, RI
Past
May 31, 1989 - December 16, 1994
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
LA JOLLA, CA
Past
March 1, 1983 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
BD
CRD#: 6871
SAN DIEGO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FF
FIRST FINANCIAL ADVISORY SERVICES INC
FIRST FINANCIAL ADVISORY SERVICES INC
CRD#: 105031 / SEC#: 801-20623
RIA
Registered Investment Advisory firm - (1/24/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/8/2022)
RR
Alaska(9/8/2022)
RR
California(9/8/2022)
IAR
Connecticut(6/22/1992)
RR
Connecticut(9/8/2022)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Louisiana(9/8/2022)
RR
Maine(9/8/2022)
RR
Maryland(9/8/2022)
IAR
Massachusetts(4/14/1994)
RR
Massachusetts(9/8/2022)
RR
Michigan(9/8/2022)
RR
Missouri(9/8/2022)
RR
Nevada(11/22/2022)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
IAR
Pennsylvania(1/25/2017)
RR
Pennsylvania(9/8/2022)
IAR
Rhode Island(1/1/1993)
RR
Rhode Island(9/8/2022)
RR
South Carolina(9/8/2022)
IAR
Texas(8/28/2015)
RR
Texas(9/8/2022)
RR
Vermont(9/8/2022)
IAR
Virginia(3/6/2007)
RR
Virginia(9/8/2022)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FIRST FINANCIAL ADVISORY SERVICES INC
FIRST FINANCIAL ADVISORY SERVICES INC
CRD#: 105031 / SEC#: 801-20623
RIA
Registered Investment Advisory firm - (1/24/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
85 Beach Street, Westerly, RI 02891
Mailing Address
Phone number
(401) 596-0193
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,085 |
| AUM (Assets Under Management) | $ 250,037,412 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIRST FINANCIAL ADVISORY SERVICES INC
CRD#: 105031Westerly, RI 02891TRUST BUT VERIFY
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