JC
James L. Cunningham
COOPER MCMANUS
Auburn, CA 95630
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CRD#: 4457930
JC
Professional summary
James Louie Cunningham JR, who also goes by Jim Cunningham, is a registered financial advisor currently at COOPER MCMANUS located in Auburn, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Westlake Village, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim 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.
1) JAMES CUNNINGHAM INSURANCE AGENT- LICENSE #OK15110, 200 AUBURN FOLSOM ROAD, STE 103, AUBURN CA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 03/20/15, INV REL, 4/WK- 4/TRADING 2) CUNNINGHAM LEGAL, 200 AUBURN BOLSOM RD, STE 106, AUBURN, CA, AUTHOR,04/19/17, 0/MO- 0/TRADING 3) CUNNINGHAM LEGAL, 200 AUBURN FOLSOM RD, STE 106, AUBURN CA, ATTORNEY, 01/03/05, INV REL, CEO AND LEAD ATTORNEY, 40/WK- 30/TRADING 4) CUNNINGHAM, JAMES LOUIE JR, REAL ESTATE BROKER LICENSE #02087653, 200 AUBURN FOLSOM RD, STE 106, AUBURN, CA, REAL ESTATE SALES/MORTGAGE ORIGINATION/MORTGAGE BROKER, 07/03/19, NIR, 1/MO- 1/TRADING 3) COOPER FINANCIAL GROUP, 9870 RESEARCH DRIVE, IRVINE, CA, ADVISOR REP OF A REGISTERED INVESTMENT ADVISOR, RIA, SOLICITOR IAR, 01/13/14, INV REL, 4/WK-4/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Louie Cunningham JR's 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®
NoneExperience
Current
February 6, 2014 - Present
COOPER MCMANUS
Office #1: 200 Auburn Folsom Rd. Ste 101, Auburn, CA 95630RIA
CRD#: 111458
Auburn, CA
Current
March 27, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 4195 E. Thousand Oaks Blvd Suite 125, Westlake Village, CA 95603Office #2: 6200 Antioch St., Oakland, CA 94611Office #3: 301 N Lake Ave. Ste. 770, Pasadena, CA 91101Office #4: 416 Auburn Folsom Rd., Auburn, CA 95603Office #5: 899 Northgate Drive Suite 307, San Rafael, CA 94903Office #6: 1255 Treat Blvd. #300, Walnut Creek, CA 94597BD
CRD#: 39543
Westlake Village, CA
Past
March 14, 2016 - March 27, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WESTLAKE VILLAGE, CA
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".
CM
COOPER MCMANUS
401KAMERICA | WEST PRIVATE WEALTH MANAGEMENT | THE PURMORT GROUP | TAX SMART INVESTING & PLANNING | TADMAN FINANCIAL | SYV WEALTH ADVISORS | ROYAL GLOBAL ASSET MANAGEMENT LLC | RIDGE FINANCIAL PLANNING | RICCIO WEALTH MANAGEMENT | PRUDENCE WEALTH ADVISORY | PEARL FINANCIAL | NEWPORT INVESTORS | MORGAN STERLING PRIVATE WEALTH MANAGEMENT | MKT WEALTH MANAGEMENT | LORRIMER PRIVATE WEALTH MANAGEMENT | LINDSEY AND LINDSEY WEALTH MANAGEMENT | LEFT LANE FINANCIAL | LDW CONSULTING GROUP | LARSON FINANCIAL SERVICES, INC. | KERR FINANCIAL FAMILY | K.W. JONES WEALTH | IRVINE WEALTH MANAGEMENT | HARRINGTON FINANCIAL | FIRST PRINCIPLES WEALTH MANAGEMENT | FINANCIAL CLARITY GUIDES | FAIR PLANET ADVISORS | EVERGREEN WEALTH ADVISORY GROUP | EHG FINANCIAL | CROSS FINANCIAL INVESTMENTS | COOPER MCMANUS | COOPER FINANCIAL GROUP | CB WEALTH ADVISORY | AVANA WEALTH MANAGEMENT | ATLAS INDICATORS INVESTMENT ADVISORS | ASCENT WEALTH MANAGEMENT
CRD#: 111458 / SEC#: 801-61944
RIA
Registered Investment Advisory firm - (4/7/2003 Approved)California
Registered Investment Advisory firm - (4/9/2003 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/27/2020)
IAR
California(2/6/2014)
RR
California(3/27/2020)
RR
Idaho(3/27/2020)
RR
Nevada(3/27/2020)
RR
New York(3/27/2020)
RR
Oregon(3/27/2020)
RR
Tennessee(1/2/2025)
RR
Texas(3/27/2020)
RR
Utah(12/17/2024)
RR
Washington(1/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CM
COOPER MCMANUS
401KAMERICA | WEST PRIVATE WEALTH MANAGEMENT | THE PURMORT GROUP | TAX SMART INVESTING & PLANNING | TADMAN FINANCIAL | SYV WEALTH ADVISORS | ROYAL GLOBAL ASSET MANAGEMENT LLC | RIDGE FINANCIAL PLANNING | RICCIO WEALTH MANAGEMENT | PRUDENCE WEALTH ADVISORY | PEARL FINANCIAL | NEWPORT INVESTORS | MORGAN STERLING PRIVATE WEALTH MANAGEMENT | MKT WEALTH MANAGEMENT | LORRIMER PRIVATE WEALTH MANAGEMENT | LINDSEY AND LINDSEY WEALTH MANAGEMENT | LEFT LANE FINANCIAL | LDW CONSULTING GROUP | LARSON FINANCIAL SERVICES, INC. | KERR FINANCIAL FAMILY | K.W. JONES WEALTH | IRVINE WEALTH MANAGEMENT | HARRINGTON FINANCIAL | FIRST PRINCIPLES WEALTH MANAGEMENT | FINANCIAL CLARITY GUIDES | FAIR PLANET ADVISORS | EVERGREEN WEALTH ADVISORY GROUP | EHG FINANCIAL | CROSS FINANCIAL INVESTMENTS | COOPER MCMANUS | COOPER FINANCIAL GROUP | CB WEALTH ADVISORY | AVANA WEALTH MANAGEMENT | ATLAS INDICATORS INVESTMENT ADVISORS | ASCENT WEALTH MANAGEMENT
CRD#: 111458 / SEC#: 801-61944
RIA
Registered Investment Advisory firm - (4/7/2003 Approved)California
Registered Investment Advisory firm - (4/9/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9870 Research Drive, Irvine, CA 92618
Mailing Address
Phone number
(800) 516-5333
Established
Firm type
Fiscal year end
# of Employees
52
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,372 |
| AUM (Assets Under Management) | $ 2,560,714,584 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
COOPER MCMANUS
CRD#: 111458Auburn, CA 95630TRUST BUT VERIFY
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