James L. Davis

CUNNINGHAM WEALTH MANAGEMENT

Broadview Heights, OH 44147

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CRD#: 4685981

Professional summary

James Louis Davis, who also goes by James L Davis, is a registered financial advisor currently at CUNNINGHAM WEALTH MANAGEMENT located in Broadview Heights, Ohio.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. James has worked at 4 firms and has passed the Series 6 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James L Davis

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.

CUNNINGHAM AND ASSOCIATES - LOCAL PUBLIC ACCOUNTING FIRM

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Louis Davis'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®

None

Experience

Current

November 19, 2008 - Present

CUNNINGHAM WEALTH MANAGEMENT

Office #1: 60 Eagle Valley Court, Broadview Heights, OH 44147

RIA

CRD#: 148023

Broadview Heights, OH

Past

June 8, 2007 - November 6, 2008

SAFEGUARD SECURITIES, INC.

CRD#: 31256

MAYFIELD HEIGHTS, OH

Past

February 4, 2005 - June 6, 2007

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BEACHWOOD, OH

Past

August 25, 2003 - December 3, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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

Ohio
(11/19/2008)

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

General Industry/Product Exam

Series 6

Date: 8/22/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CUNNINGHAM WEALTH MANAGEMENT

CUNNINGHAM WEALTH MANAGEMENT | CUNNINGHAM WEALTH MANAGEMENT LLC

CRD#: 148023 / SEC#: 801-69472

RIA

Registered Investment Advisory firm - (8/30/2012 Terminated)

North Carolina

Registered Investment Advisory firm - (3/26/2021 Approved)

Ohio

Registered Investment Advisory firm - (6/15/2012 Approved)

South Carolina

Registered Investment Advisory firm - (8/30/2012 Approved)

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).

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Contact information

Main Address

60 Eagle Valley Court, Broadview Heights, OH 44147

Mailing Address

Phone number

(440) 717-1350

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	339
AUM (Assets Under Management)	$ 84,463,800

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.

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James L. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Louis Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CUNNINGHAM WEALTH MANAGEMENT

SAFEGUARD SECURITIES, INC.

WATERSTONE FINANCIAL GROUP, INC.

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 6

Date: 8/22/2003

Current Firm

CUNNINGHAM WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CUNNINGHAM WEALTH MANAGEMENT

TRUST BUT VERIFY

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