Richard L. Cunningham

SUMMIT GLOBAL INVESTMENTS

Draper, UT 84020

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CRD#: 1362301

Professional summary

Richard Leslie Cunningham, who also goes by Rich L Cunningham, is a registered financial advisor currently at SUMMIT GLOBAL INVESTMENTS, LLC located in Draper, Utah and EQUITY SERVICES, INC. located in Draper, Utah.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich L 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.) MMSMGD LLC - PARTNER WITH SPOUSE TRACY - PASS THROUGH ENTITY - SOUTH JORDAN, UT - SINCE 01/1997 - NOT INVESTMENT RELATED. DURING TRADE HRS. 2.) CUNNINGHAM INVESTMENT 1 LLC - GENERAL PARTNER WITH SPOUSE TRACY - HOLDS FAMILY REAL ESTATE AND INVESTMENTS - SOUTH JORDAN, UT - SINCE 06/2017 - INVESTMENT RELATED. DURING TRADE HRS. 3.) RICHARD L CUNNINGHAM - AGENT - NON-VARIABLE INSURANCE - DRAPER, UT - SINCE 01/2001 - INVESTMENT RELATED. DURING TRADE HRS. 4.) SUMMIT GLOBAL PRIVATE WEALTH - FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - DRAPER, UT - SINCE 08/2023 - INVESTMENT RELATED. DURING TRADE HRS. 5.) SUMMIT GLOBAL INVESTMENTS, LLC - INVESTMENT ADVISOR REPRESENTATIVE - REGISTERED INVESTMENT ADVISOR - DRAPER, UT - SINCE 08/2023 - INVESTMENT RELATED. DURING TRADE HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Leslie Cunningham's CRS (Customer Relationship Summary).

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

August 15, 2023 - Present

SUMMIT GLOBAL INVESTMENTS, LLC

Office #1: 1111 East Draper Parkway, Suite 310, Draper, UT 84020

RIA

CRD#: 157091

Draper, UT

Current

October 15, 2025 - Present

EQUITY SERVICES, INC.

Office #1: 1111 East Draper Parkway Suite 310, Draper, UT 84020

RIA

CRD#: 265

DRAPER, UT

Past

November 28, 2023 - November 11, 2025

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

DRAPER, UT

Past

September 29, 2023 - November 2, 2023

VERITY INVESTMENTS, INC.

CRD#: 41527

DRAPER, UT

Past

January 6, 2012 - July 28, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

DRAPER, UT

Past

January 6, 2012 - July 28, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

DRAPER, UT

Past

August 8, 2006 - January 6, 2012

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

DRAPER, UT

Past

May 4, 2005 - August 24, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

SANDY, UT

Past

April 12, 2002 - January 6, 2012

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DRAPER, UT

Past

August 31, 1995 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

February 1, 1995 - September 14, 1995

RUSHMORE SECURITIES CORPORATION

CRD#: 8392

DALLAS, TX

Past

January 3, 1994 - February 13, 1995

CONSOLIDATED INVESTMENT SERVICES, INC.

CRD#: 7929

LITTLETON, CO

Past

April 2, 1991 - December 31, 1993

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

June 17, 1985 - April 1, 1991

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

SUMMIT GLOBAL INVESTMENTS, LLC

HARDEN, DAVID | SUMMIT GLOBAL PRIVATE WEALTH | SUMMIT GLOBAL INVESTMENTS, LLC | SUMMIT GLOBAL INVESTMENTS

CRD#: 157091 / SEC#: 801-76631

RIA

Registered Investment Advisory firm - (5/10/2012 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.

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

Arizona
(10/15/2025)

Colorado
(10/15/2025)

Florida
(10/15/2025)

Georgia
(10/15/2025)

Idaho
(10/15/2025)

Indiana
(10/15/2025)

Montana
(10/15/2025)

Nevada
(10/15/2025)

IAR

Utah
(8/15/2023)

Utah
(10/15/2025)

Wyoming
(10/15/2025)

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

State Security Law Exam

IAR

Series 65

Date: 4/11/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/10/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/14/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/12/1989

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

SUMMIT GLOBAL INVESTMENTS, LLC

HARDEN, DAVID | SUMMIT GLOBAL PRIVATE WEALTH | SUMMIT GLOBAL INVESTMENTS, LLC | SUMMIT GLOBAL INVESTMENTS

CRD#: 157091 / SEC#: 801-76631

RIA

Registered Investment Advisory firm - (5/10/2012 Approved)

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Contact information

Main Address

620 South Main Street, Bountiful, UT 84010

Mailing Address

620 South Main Street, Bountiful, UT 84010

Phone number

(888) 251-4847

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SGI BROCHURE (9/15/2025)

SGI BROCHURE (5/21/2025)

Regulatory assets under management

Total Number of Accounts	6,923
AUM (Assets Under Management)	$ 1,921,141,101

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Richard L. Cunningham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Leslie Cunningham's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITY SERVICES, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

VERITY INVESTMENTS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

INVESTMENT ADVISORS INTERNATIONAL, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

RUSHMORE SECURITIES CORPORATION

CONSOLIDATED INVESTMENT SERVICES, INC.

USLIFE EQUITY SALES CORP.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

SUMMIT GLOBAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/11/2005

Series 63

Date: 6/10/1985

SIE

Date: 10/1/2018

Series 6

Date: 6/14/1985

Series 26

Date: 5/12/1989

FINRA

Current Firm

SUMMIT GLOBAL INVESTMENTS, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT GLOBAL INVESTMENTS, LLC

TRUST BUT VERIFY

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