Lawrence W. Cunnings
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.
Lawrence Willam Cunnings, who also goes by Lawrence W Cunnings, Lawrencw W (ii) Cunnings, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1998. Lawrence had worked at 8 firms and has passed the Series 63, Series 65, Series 66 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
July 24, 2008 - July 6, 2011
GIRARD SECURITIES, INC.
January 4, 2007 - July 25, 2008
MIDPOINT FINANCIAL SERVICES, INC.
August 8, 2006 - December 31, 2015
CUNNINGS FINANCIAL
May 24, 2006 - August 22, 2006
TVA CAPITAL, LLC
June 3, 2004 - December 31, 2005
SYMMETRY PARTNERS
October 20, 2003 - December 19, 2003
VERAVEST INVESTMENT ADVISORS, INC.
August 1, 2003 - August 4, 2003
VERAVEST INVESTMENT ADVISORS, INC.
May 23, 2003 - December 19, 2003
VERAVEST INVESTMENTS, INC.
February 23, 2001 - March 12, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2001 - March 12, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 1998 - May 20, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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