Robert L. 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.
Robert Lawrence Cunningham, who also goes by Rob Cunningham, Robert L Cunningham, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 6 firms and has passed the Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2012 - February 13, 2013
VIRTU AMERICAS LLC
December 10, 2009 - March 13, 2012
UBS FINANCIAL SERVICES INC.
June 1, 2009 - September 2, 2009
MORGAN STANLEY
April 9, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 13, 2009 - April 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 2006 - July 7, 2008
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
October 23, 2002 - August 13, 2005
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
March 8, 1994 - July 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
VIRTU AMERICAS LLC
CRD#: 149823 / SEC#: , 8-68193
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
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.
