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David S. Cunningham

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CRD#: 2898048
DC

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.

David Sean Cunningham was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1997. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 15, 2021 - May 11, 2023

SW FINANCIAL

BD
CRD#: 145012
MELVILLE, NY
Past

February 16, 2018 - February 13, 2026

KINGSBURY CAPITAL INVESTMENT ADVISORS LLC

RIA
CRD#: 145658
CHICAGO, IL
Past

February 16, 2018 - December 18, 2018

KINGSBURY CAPITAL, INC.

BD
CRD#: 7638
EVANSTON, IL
Past

June 16, 2016 - November 1, 2017

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
CHICAGO, IL
Past

October 1, 2015 - November 1, 2017

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST CLOUD, MN
Past

March 11, 2010 - October 2, 2015

INTEGRAL WEALTH SECURITIES LLC

BD
CRD#: 36143
NEW YORK, NY
Past

February 20, 2007 - November 23, 2009

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

April 1, 2006 - January 29, 2007

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

July 22, 2004 - April 1, 2006

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

July 27, 2001 - July 19, 2004

LIBERTY LIFE DISTRIBUTORS LLC

BD
CRD#: 46074
DOVER, NH
Past

December 10, 1997 - July 11, 2001

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/15/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/15/2004
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: 1/22/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/8/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SF
SW FINANCIAL
SALOMON WHITNEY FINANCIAL | SW FINANCIAL | SALOMON WHITNEY LLC

CRD#: 145012 / SEC#: , 8-67688

BD
Postponed Effective by SEC on 05/16/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/11/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ANGIA HOLDINGS, LLC75.1% OWNER

Disclosures

Regulatory Event7
Arbitration7

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

SW FINANCIAL

CRD#: 145012

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