Charles A. Cunningham

IRONHORSE CAPITAL LLC

Nashville, TN 37203

Some features on this profile are disabled

CRD#: 3102063

Professional summary

Charles Albert Cunningham III is a registered financial advisor currently at IRONHORSE CAPITAL LLC located in Nashville, Tennessee.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Charles has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Charles Albert Cunningham III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 14, 2012 - Present

IRONHORSE CAPITAL LLC

Office #1: 3102 West End Avenue Suite 400, Nashville, TN 37203

RIA

CRD#: 148572

Nashville, TN

Past

June 14, 1999 - March 17, 2000

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IRONHORSE CAPITAL LLC

IRONHORSE CAPITAL LLC | TIGRETT INVESTMENTS LLC | IRONHORSE CAPITAL MANAGEMENT

CRD#: 148572 / SEC#: 801-78730

RIA

Registered Investment Advisory firm - (10/30/2013 Approved)

Tennessee

Registered Investment Advisory firm - (12/5/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(12/14/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/11/1999

General Securities Representative Examination

Current Firm

IRONHORSE CAPITAL LLC

IRONHORSE CAPITAL LLC | TIGRETT INVESTMENTS LLC | IRONHORSE CAPITAL MANAGEMENT

CRD#: 148572 / SEC#: 801-78730

RIA

Registered Investment Advisory firm - (10/30/2013 Approved)

Tennessee

Registered Investment Advisory firm - (12/5/2013 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3102 West End Avenue Suite 400, Nashville, TN 37203

Mailing Address

Phone number

(615) 200-0240

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IRONHORSE CAPITAL ADV PART 2A (2/3/2025)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 105,186,582

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.

Similar Advisors

Eric Berner

LPL FINANCIAL LLC

IAR

HENDERSONVILLE, TN

Thomas Ennis

TRUIST ADVISORY SERVICES, INC.

IAR

SUITE 620, TN

James Parker

MORGAN STANLEY

IAR

Franklin, TN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles A. Cunningham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Albert Cunningham III's CRS (Customer Relationship Summary).

Certified licenses

Experience

IRONHORSE CAPITAL LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

IRONHORSE CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/12/1999

Series 7

Date: 2/11/1999

Current Firm

IRONHORSE CAPITAL LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IRONHORSE CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors