Richard 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.
Richard Cunningham was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2010. Richard had worked at 3 firms and has passed the Series 66, 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
April 30, 2014 - October 19, 2015
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
April 29, 2014 - October 19, 2015
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
May 21, 2012 - April 16, 2014
OPES ADVISORS, INC.
August 19, 2010 - May 16, 2012
MORGAN STANLEY
July 27, 2010 - May 16, 2012
MORGAN STANLEY
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
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
