DC
Dana R. Cunningham
RAYMOND JAMES INVESTMENT MANAGEMENT
Kansas City, MO 64106
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CRD#: 2204232
DC
Professional summary
Dana Reed Cunningham is a registered financial advisor currently at RAYMOND JAMES INVESTMENT MANAGEMENT located in Kansas City, Missouri and CARILLON FUND DISTRIBUTORS, INC. located in St. Petersburg, Florida.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Dana has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Dana Reed 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®
NoneExperience
Current
May 22, 2018 - Present
RAYMOND JAMES INVESTMENT MANAGEMENT
Office #1: 928 Grand Blvd, Kansas City, MO 64106RIA
CRD#: 174904
Kansas City, MO
Current
November 17, 2017 - Present
CARILLON FUND DISTRIBUTORS, INC.
Office #1: 880 Carillon Parkway, St. Petersburg, FL 33716BD
CRD#: 139749
St. Petersburg, FL
Past
February 11, 2010 - November 21, 2017
DISTRIBUTION SERVICES, LLC
BD
CRD#: 25938
KANSAS CITY, MO
Past
July 2, 2009 - November 21, 2017
SCOUT INVESTMENTS, INC.
RIA
CRD#: 111787
KANSAS CITY, MO
Past
January 8, 2008 - February 18, 2010
UMB FINANCIAL SERVICES, INC.
BD
CRD#: 17073
KANSAS CITY, MO
Past
July 12, 2006 - September 4, 2007
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
KANSAS CITY, MO
Past
December 23, 1992 - April 7, 1997
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
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".
RJ
RAYMOND JAMES INVESTMENT MANAGEMENT
CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT
CRD#: 174904 / SEC#: 801-100356
RIA
Registered Investment Advisory firm - (7/6/2015 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.RR
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
RR
Alabama(11/17/2017)
RR
Alaska(11/17/2017)
RR
Arizona(11/17/2017)
RR
Arkansas(11/17/2017)
RR
California(11/17/2017)
RR
Colorado(11/17/2017)
RR
Connecticut(11/17/2017)
RR
Delaware(11/17/2017)
RR
District of Columbia(11/17/2017)
RR
Florida(11/17/2017)
RR
Georgia(11/17/2017)
RR
Hawaii(11/17/2017)
RR
Idaho(11/17/2017)
RR
Illinois(11/17/2017)
RR
Indiana(11/17/2017)
RR
Iowa(11/17/2017)
RR
Kansas(11/17/2017)
RR
Kentucky(11/17/2017)
RR
Louisiana(11/17/2017)
RR
Maine(11/17/2017)
RR
Maryland(11/17/2017)
RR
Massachusetts(11/17/2017)
RR
Michigan(11/17/2017)
RR
Minnesota(11/17/2017)
RR
Mississippi(11/17/2017)
RR
Missouri(11/17/2017)
IAR
Missouri(5/22/2018)
RR
Montana(11/17/2017)
RR
Nebraska(11/17/2017)
RR
Nevada(11/17/2017)
RR
New Hampshire(11/17/2017)
RR
New Jersey(11/17/2017)
RR
New Mexico(11/17/2017)
RR
New York(11/17/2017)
RR
North Carolina(11/17/2017)
RR
North Dakota(11/17/2017)
RR
Ohio(11/17/2017)
RR
Oklahoma(11/17/2017)
RR
Oregon(11/17/2017)
RR
Pennsylvania(11/17/2017)
RR
Puerto Rico(11/17/2017)
RR
Rhode Island(11/17/2017)
RR
South Carolina(11/17/2017)
RR
South Dakota(11/17/2017)
RR
Tennessee(11/17/2017)
RR
Texas(11/17/2017)
RR
Utah(11/17/2017)
RR
Virgin Islands(11/17/2017)
RR
Virginia(11/17/2017)
RR
Washington(11/17/2017)
RR
West Virginia(11/17/2017)
RR
Wisconsin(11/17/2017)
RR
Wyoming(11/17/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RJ
RAYMOND JAMES INVESTMENT MANAGEMENT
CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT
CRD#: 174904 / SEC#: 801-100356
RIA
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Contact information
Main Address
780 Carillon Parkway, St Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St Petersburg, FL 33716
Phone number
(800) 521-1195
Established
Firm type
Fiscal year end
# of Employees
173
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 16,378,977,378 |
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.
