William W. 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.
William Weldon Cunningham III, who also goes by Bill Cunningham, William W Cunningham III, William Weldon Cunningham, William Cunningham, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2012 - December 31, 2018
INDEPENDENCE CAPITAL CO., INC.
October 13, 2011 - February 16, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 2, 2001 - May 4, 2011
CLARK SECURITIES, INC.
August 24, 2000 - July 2, 2001
CLARK-BARDES SECURITIES, INC.
May 26, 1998 - June 29, 1999
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 14, 1995 - July 25, 1996
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 2, 1991 - May 19, 1995
AMSOUTH INVESTMENT SERVICES, INC.
April 17, 1989 - October 10, 1990
PORTER, WHITE & COMPANY, INC.
October 20, 1988 - April 25, 1989
SOUTHTRUST SECURITIES, LLC
March 29, 1988 - September 7, 1988
NBC SECURITIES, INC.
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
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
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.
