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SC

Stacey L. Cunningham

Some features on this profile are disabled
CRD#: 4309055
SC

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.

Stacey Leandrea Cunningham, who also goes by Stacey Cunningham, was a registered financial professional .

Stacey is a previously registered financial professional and started their career in finance in 2000. Stacey had worked at 5 firms and has passed the SIE, Series 7, Series 21, Series 25, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stacey Cunningham

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

March 14, 2018 - July 31, 2020

ARCHIPELAGO TRADING SERVICES, INC.

BD
CRD#: 15853
New York, NY
Past

January 1, 2016 - July 31, 2020

ARCHIPELAGO SECURITIES L.L.C.

BD
CRD#: 102500
New York, NY
Past

October 22, 2013 - December 10, 2014

ARCHIPELAGO TRADING SERVICES, INC.

BD
CRD#: 15853
CHICAGO, IL
Past

October 22, 2013 - December 10, 2014

ARCHIPELAGO SECURITIES L.L.C.

BD
CRD#: 102500
CHICAGO, IL
Past

October 1, 2009 - November 6, 2012

NASDAQ CAPITAL MARKETS ADVISORY LLC

BD
CRD#: 104295
NEW YORK, NY
Past

October 1, 2009 - November 6, 2012

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
PHILADELPHIA, PA
Past

October 1, 2000 - April 28, 2005

BANC OF AMERICA SPECIALIST, INC.

BD
CRD#: 103971
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 21
Date: 8/24/2000
NYSE Front Line Specialist Clerk
General Industry/Product Exam
RR
Series 25
Date: 10/12/1999
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/19/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/14/2010
Registered Options Principal Examination

Current Firm

AT
ARCHIPELAGO TRADING SERVICES, INC.
ARCHIPELAGO TRADING SERVICES, INC. | GLOBENET SECURITIES, INC. | FRAY MUNICIPAL SECURITIES, INC. | CORPORATE CAPITAL SECURITIES, INC.

CRD#: 15853 / SEC#: , 8-33180

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
353 North Clark Street Suite 3200, Chicago, IL 60654
Mailing Address
353 North Clark Street Suite 3200, Chicago, IL 60654
Phone number
(312) 836-6700
Established
Florida since 09/07/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NYSE GROUP, INC.HOLDING COMPANY
KNIGHT, JOHN CHARLESCHIEF COMPLIANCE OFFICER5187603
SCADDEN, BARRY SCOTTEXECUTIVE PRINCIPAL2400877
THOMASSON, SEAN JOSEPHFINANCIAL AND OPERATIONS PRINCIPAL5124423
TOBIN, BRYAN THOMASSUPERVISORY PRINCIPAL5232664

Disclosures

Regulatory Event5

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

ARCHIPELAGO TRADING SERVICES, INC.

CRD#: 15853

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