Richard T. Cunniffe
Professional summary
Richard Thomas Cunniffe was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Richard had worked at 5 firms, which includes CHATSWORTH SECURITIES LLC, STERNE AGEE & LEACH INC., NEWOAK CAPITAL MARKETS LLC, BANC ONE CAPITAL MARKETS INC., WILLIAM BLAIR.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2012 - April 2, 2015
CHATSWORTH SECURITIES LLC
January 9, 2008 - August 25, 2010
STERNE, AGEE & LEACH, INC.
March 24, 2005 - October 4, 2007
NEWOAK CAPITAL MARKETS LLC
January 17, 2002 - August 12, 2003
BANC ONE CAPITAL MARKETS, INC.
February 2, 2000 - November 30, 2001
WILLIAM BLAIR
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
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
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.
