Timothy J. Cunningham
BENJAMIN F. EDWARDS & COMPANY
WHITE PLAINS, NY 10604
Some features on this profile are disabled
CRD#: 4472387
Professional summary
Timothy Joseph Cunningham, CFP®, who also goes by Timothy J Cunningham, is a registered financial advisor currently at BENJAMIN F. EDWARDS & COMPANY, INC. located in White Plains, New York.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Timothy has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Timothy J 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) NEW YORK CITY BALLET ,POSITION: STAGEHAND, START DATE: 1/1/2002, ADDRESS: Lincoln Center Plaza New York, NY, DETAILS: MOVING AND SETTING UP SCENERY FOR PERFORMANCES., INVESTMENT RELATED: NO, HOURS DEDICATED (per month unless otherwise indicated): 20 HOURS W/ 0 DURING TRADING HOURS. (2) POA/AGENT - Family Member, Old Saybrook, CT., Investment Related, Start Date: 11/2022, 4 hours per month, 4 hours during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Joseph Cunningham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Joseph Cunningham'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®
CFP®
Start date: 2016
Experience
Current
September 28, 2020 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 925 Westchester Ave. Suite Ll-01, White Plains, NY 10604RIA
BD
CRD#: 146936
WHITE PLAINS, NY
Current
October 1, 2020 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 925 Westchester Ave. Suite Ll-01, White Plains, NY 10604RIA
BD
CRD#: 146936
WHITE PLAINS, NY
Past
October 1, 2012 - June 29, 2020
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW YORK, NY
Past
October 1, 2012 - June 29, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
October 11, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
October 11, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
July 24, 2002 - October 10, 2005
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
December 3, 2001 - July 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
BF
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN F. EDWARDS | MSHB, LLC | MSHB | BENJAMIN F. EDWARDS & COMPANY, LLC | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | BENJAMIN F. EDWARDS & COMPANY, INC. | BENJAMIN F. EDWARDS & COMPANY
CRD#: 146936 / SEC#: 801-71421, 8-68023
RIA
Registered Investment Advisory firm - SEC (5/6/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Connecticut(10/14/2020)
RR
Florida(8/25/2022)
RR
New Jersey(11/19/2020)
IAR
New Jersey(11/19/2020)
RR
New York(10/3/2020)
IAR
New York(7/24/2021)
RR
Rhode Island(10/8/2020)
IAR
Texas(9/28/2020)
RR
Texas(1/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN F. EDWARDS | MSHB, LLC | MSHB | BENJAMIN F. EDWARDS & COMPANY, LLC | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | BENJAMIN F. EDWARDS & COMPANY, INC. | BENJAMIN F. EDWARDS & COMPANY
CRD#: 146936 / SEC#: 801-71421, 8-68023
RIA
Registered Investment Advisory firm - SEC (5/6/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
One North Brentwood Blvd, Suite 850 Suite 850, St. Louis, MO 63105
Mailing Address
One North Brentwood Blvd, Suite 850, St. Louis, MO 63105
Phone number
(314) 726-1600
Established
Missouri since 08/19/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
736
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENJAMIN EDWARDS, INC. | OWNER | |
| BAUMANN, NEAL JAMES | DIRECTOR/REGIONAL DIRECTOR | 1480636 |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| DELINIERE, ROLAND HAROLD | DIRECTOR/REGIONAL DIRECTOR | 1038322 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| FELLOWS, MARK PATTERSON | DIRECTOR/REGIONAL DIRECTOR | 1600661 |
| HANSON, DAVID WILLIAM | DIRECTOR | 715793 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS | 1138380 |
| SALAMON, MATTHEW R | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | 1858581 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| WELKER, JOANNE MARIE | DIRECTOR/MANAGER ADVISORY SERVICES | 2300075 |
| WHITING, CHRISTOPHER MARK | DIRECTOR OF FINANCIAL STRATEGIES GROUP | 2242513 |
| WISDOM, BILLY JOE | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | 1810908 |
Regulatory assets under management
| Total Number of Accounts | 49,475 |
| AUM (Assets Under Management) | $ 15,656,482,908 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/20/2023 | ||
| 10/28/2022 |
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.
