John M. Cunningham

EMPIRICAL RESEARCH PARTNERS LLC

New York, NY 10017

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CRD#: 2395675

Professional summary

John Michael Cunningham JR, who also goes by John Cunningham, is a registered financial advisor currently at EMPIRICAL RESEARCH PARTNERS LLC located in New York, New York.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Cunningham JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Michael Cunningham JR'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

August 23, 2023 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 565 Fifth Avenue 25th Floor, New York, NY 10017Office #2: 551 Fifth Avenue Suite 1800, New York, NY 10176

RIA

CRD#: 123520

New York, NY

Current

March 13, 2018 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 565 Fifth Avenue 25th Floor, New York, NY 10017Office #2: 551 Fifth Avenue Suite 1800, New York, NY 10176

RIA

CRD#: 123520

New York, NY

Past

March 7, 2013 - February 28, 2018

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

March 31, 2008 - March 25, 2013

COWEN SECURITIES LLC

CRD#: 23510

NEW YORK, NY

Past

June 14, 2001 - March 26, 2008

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

May 1, 2001 - June 13, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

February 5, 2001 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

February 1, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

January 6, 1997 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

October 25, 1993 - April 12, 1995

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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

New York
(3/13/2018)

IAR

New York
(8/23/2023)

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: 6/6/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EMPIRICAL RESEARCH PARTNERS LLC

CRD#: 123520 / SEC#: , 8-65590

New York

Registered Investment Advisory firm - SEC (8/23/2023 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

551 Fifth Avenue Suite 1800, New York`, NY 10176

Mailing Address

551 Fifth Avenue Suite 1800, New York, NY 10176

Phone number

(212) 803-8000

Established

Delaware since 06/25/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
GOLDSTEIN, MICHAEL LEWIS	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	1661076
SCHILLING, MICHAEL JAMES	FINOP	2609624

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

John M. Cunningham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Cunningham JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Michael Cunningham JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRICAL RESEARCH PARTNERS LLC

COWEN AND COMPANY

COWEN SECURITIES LLC

COWEN AND COMPANY

J.P. MORGAN SECURITIES INC.

JPMSI

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/2023

Series 63

Date: 11/2/1993

SIE

Date: 10/1/2018

Series 7

Date: 10/22/1993

FINRA

Current Firm

EMPIRICAL RESEARCH PARTNERS LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EMPIRICAL RESEARCH PARTNERS LLC

TRUST BUT VERIFY

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