Kenneth J. Cunningham
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kenneth Jay Cunningham, who also goes by Ken Cunningham, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2007 - December 31, 2014
BROKER DEALER FINANCIAL SERVICES CORP.
May 25, 2004 - March 22, 2007
NYLIFE SECURITIES LLC
October 11, 1999 - April 8, 2004
PRUCO SECURITIES, LLC.
July 5, 1983 - April 8, 2004
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROKER DEALER FINANCIAL SERVICES CORP.
CRD#: 8073 / SEC#: , 8-24220
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
