David M. Cunningham
Professional summary
David Matthew Cunningham is a registered financial professional currently at MOELIS & COMPANY LLC located in Houston, Texas.
David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 4 firms and has passed the Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Matthew Cunningham's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 7, 2015 - Present
MOELIS & COMPANY LLC
Office #1: 845 Texas Ave 22nd Floor, Houston, TX 77002March 7, 2012 - October 2, 2015
TUDOR PICKERING HOLT & CO ADVISORS LP
December 21, 2007 - October 2, 2015
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
August 27, 1997 - December 7, 2007
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MOELIS & COMPANY LLC
CRD#: 145115 / SEC#: , 8-67705
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory 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.
Company Information
MOELIS & COMPANY LLC
CRD#: 145115Houston, TX 77002TRUST BUT VERIFY
Monitor David Cunningham
Get automatic monthly alerts on:
