Joseph K. 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.
Joseph Kevin Cunningham, who also goes by Joseph K. Cunningham Mr., Joseph K. Cunningham, Joseph K Cunningham, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 14 firms and has passed the Series 63, Series 66, 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
October 6, 2022 - October 30, 2024
ALDEN INVESTMENT GROUP
September 30, 2022 - October 30, 2024
J. ALDEN ASSOCIATES, INC.
April 7, 2021 - July 5, 2022
NASDAQ CAPITAL MARKETS ADVISORY LLC
June 11, 2020 - December 13, 2021
NASDAQ EXECUTION SERVICES, LLC
May 25, 2017 - July 20, 2017
FORESIDE FUND SERVICES, LLC
May 22, 2013 - May 25, 2017
FUNDS DISTRIBUTOR, LLC
November 6, 2012 - April 2, 2013
ARCHER DISTRIBUTORS, LLC
April 4, 2012 - November 5, 2012
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 31, 2007 - February 28, 2012
PROFUNDS DISTRIBUTORS, INC.
April 28, 2006 - December 11, 2006
LOUIS CAPITAL MARKETS, LLC
November 11, 2003 - January 7, 2004
LABRANCHE FINANCIAL SERVICES, LLC
June 30, 2003 - August 26, 2003
NEWOAK CAPITAL MARKETS LLC
March 12, 2003 - October 8, 2003
CASSANDRA TRADING GROUP, LLC
January 10, 2000 - August 21, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 8, 1999 - August 21, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ALDEN INVESTMENT GROUP
CRD#: 317077 / SEC#: 801-122688
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
ALDEN INVESTMENT GROUP
CRD#: 317077 / SEC#: 801-122688
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 978 |
| AUM (Assets Under Management) | $ 319,233,679 |
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.
