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GC

Gary D. Cunningham

JONESTRADING
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 2612184
GC

Professional summary

Gary David Cunningham is a registered financial professional currently at JONESTRADING located in Stamford, Connecticut.

Gary is registered as a RR (Registered Representative) and started their career in finance in 1995. Gary has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary David 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

February 8, 2018 - Present

JONESTRADING

Office #1: 46 Southfield Ave Harbor Landing Suite 300, Stamford, CT 06902
BD
CRD#: 6888
Stamford, CT
Past

February 7, 2012 - July 25, 2012

MISCHLER FINANCIAL GROUP, INC.

BD
CRD#: 37818
IRVINE, CA
Past

December 18, 2002 - December 13, 2011

ATLANTIC EQUITIES, LLC

BD
CRD#: 121669
GREENWICH, CT
Past

May 14, 2001 - March 1, 2002

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

March 20, 2000 - June 6, 2002

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

June 15, 1999 - March 13, 2000

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

December 3, 1997 - May 17, 1999

ROBERT FLEMING INC.

BD
CRD#: 1711
NEW YORK, NY
Past

January 1, 1996 - December 5, 1997

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

May 17, 1995 - January 1, 1996

BARCLAYS DE ZOETE WEDD INCORPORATED

BD
CRD#: 16080
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(2/12/2018)
RR
Colorado
(2/12/2018)
RR
Connecticut
(2/8/2018)
RR
Florida
(2/13/2018)
RR
Georgia
(2/13/2018)
RR
Hawaii
(2/12/2018)
RR
Illinois
(2/13/2018)
RR
Maryland
(2/20/2018)
RR
Massachusetts
(2/9/2018)
RR
New Hampshire
(2/12/2018)
RR
New Jersey
(3/29/2018)
RR
New York
(2/9/2018)
RR
North Carolina
(2/13/2018)
RR
South Carolina
(2/15/2018)
RR
Texas
(2/22/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/4/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.

CRD#: 6888 / SEC#: , 8-26089

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JONES & ASSOCIATES, INC.HOLDING COMPANY
BELL, JEREMY DAVIDCCO4498676
CHMIELEWSKI, STEVEN ANDREWDIRECTOR2066307
COHEN, SHLOMODIRECTOR2877188
COOK, BURKE MCCLAINCORPORATE SECRETARY / LEGAL COUNSEL4863190
HILL, ALAN FINBARCEO / DIRECTOR5182098
KIRSCH, WILLIAM TANNERDIRECTOR5428522
LEVEEN, JEFFREY EARLE JRDIRECTOR2919172
MICSKY, JEFFREY ADIRECTOR4820920
ONEIL, TIMOTHY DAWSONEXECUTIVE CHAIRMAN2355507
TESORO, ANTHONY JAMESDIRECTOR
TESORO, PHILLIP JAMESDIRECTOR2009378
WONG, JEFFREY RYANFINANCIAL AND OPERATIONS PRINCIPAL4428807

Disclosures

Regulatory Event9

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.

Company Information

JONESTRADING

CRD#: 6888Stamford, CT 06902

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