David J. Cunningham

SHERPA FINANCIAL GUIDES

AFTON, VA

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CRD#: 1316260

Professional summary

David James Cunningham, who also goes by Dave Cunningham, David Cunningham, is a registered financial advisor currently at SHERPA FINANCIAL GUIDES, INC. located in Afton, Virginia.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. David has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Cunningham | David 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. PERSONAL TAX RETURN PREPARATION AND ACCOUNTING SERVICES; NOT INVESTMENT RELATED; 171 JOSHUA LANE, AFTON VA 22920; OWNER AND CEO; 10 HOURS/MONTH, 0 HOURS DURING TRADING. 2. FARMER; NOT INVESTMENT RELATED; 171 JOSHUA LANE, AFTON VA 22920; OWNER/SOLE PROPRIETOR; START DATE 1/2000; 5 HOURS/MONTH, NONE DURING TRADING; LIVES ON & OWNS 70 ACRES- USED FOR TIMBER AND RAISING ANIMALS. 3. AIR BNB, NOT INVESTMENT RELATED, AFTON, VA, OWNER OF RENTAL PROPERTY, 3 HRS/MONTH, ALL DURING TRADING HOURS, VACATION RENTAL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David James 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®

None

Experience

Current

June 19, 2021 - Present

SHERPA FINANCIAL GUIDES, INC.

RIA

CRD#: 314973

AFTON, VA

Past

May 5, 2021 - June 18, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

AFTON, VA

Past

December 4, 2017 - May 4, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

AFTON, VA

Past

August 30, 2013 - November 17, 2014

CORECAP ADVISORS

RIA

CRD#: 158819

AFTON, VA

Past

August 30, 2013 - November 17, 2014

CORECAP INVESTMENTS, LLC

CRD#: 37068

SOUTHFIELD, MI

Past

July 19, 2010 - July 24, 2013

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CHARLOTTESVILLE, VA

Past

March 17, 2010 - July 24, 2013

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTESVILLE, VA

Past

June 22, 2004 - December 31, 2004

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

AFTON, VA

Past

March 31, 2003 - March 15, 2010

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

AFTON, VA

Past

November 30, 1999 - March 31, 2003

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

April 3, 1995 - November 30, 1999

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

November 8, 1990 - April 5, 1995

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

May 8, 1989 - November 14, 1990

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

May 2, 1989 - May 10, 1989

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

Past

August 25, 1987 - April 18, 1989

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Past

April 25, 1986 - July 31, 1987

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 23, 1985 - May 1, 1986

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

November 29, 1984 - September 27, 1985

PHILADELPHIA FINANCIAL ADVISORS, INC.

CRD#: 7149

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.

Highlighted states indicate IAR registrations

IAR

Virginia
(6/19/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/16/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/17/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/23/1986

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 11/28/1984

Direct Participation Programs Representative Examination

Current Firm

SHERPA FINANCIAL GUIDES, INC.

CRD#: 314973 / SEC#:

Virginia

Registered Investment Advisory firm - (6/19/2021 Approved)

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Contact information

Main Address

Afton, VA

Mailing Address

Phone number

(434) 882-1011

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	62
AUM (Assets Under Management)	$ 5,918,107

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David J. Cunningham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David James Cunningham's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

AE WEALTH MANAGEMENT, LLC

CORECAP ADVISORS

CORECAP INVESTMENTS, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

FSC SECURITIES CORPORATION

CETERA ADVISORS LLC

MUTUAL SERVICE CORPORATION

LOWRY FINANCIAL SERVICES CORPORATION

SECURIAN FINANCIAL SERVICES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

PHILADELPHIA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/16/2010

Series 63

Date: 12/5/1984

SIE

Date: 11/17/2014

Series 7

Date: 5/17/1986

Series 6

Date: 1/23/1986

Series 22

Date: 11/28/1984

Current Firm

SHERPA FINANCIAL GUIDES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHERPA FINANCIAL GUIDES, INC.

TRUST BUT VERIFY

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