Leo L. Cunningham

MAIN STREET FINANCIAL

Harrison, NY 10528

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CRD#: 4702201

Professional summary

Leo Lundy Cunningham, CFP®, who also goes by Leo Lundy Cunningham, is a registered financial advisor currently at MAIN STREET FINANCIAL located in Harrison, New York.

Leo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Leo has worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leo Lundy 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) CAE Inc., On-Call Flight Simulator Instructor, started 1.2.18. Not investment related. 2) Clay Lacey, On-Call Pilot, started 3.6.20. Not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leo Lundy Cunningham's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2009

Experience

Current

March 16, 2016 - Present

MAIN STREET FINANCIAL

Office #1: 550 Mamaroneck Avenue Suite 402, Harrison, NY 10528

RIA

CRD#: 118130

Harrison, NY

Past

August 31, 2011 - December 31, 2012

MAIN STREET FINANCIAL

RIA

CRD#: 118130

MOUNT KISCO, NY

Past

June 1, 2009 - September 22, 2011

MORGAN STANLEY

CRD#: 149777

MOUNT KISCO, NY

Past

May 19, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MOUNT KISCO, NY

Past

January 1, 2004 - March 24, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MOUNT KISCO, NY

Past

November 18, 2003 - March 24, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

MAIN STREET FINANCIAL

MAIN STREET FINANCIAL | MAIN STREET FINANCIAL LLC

CRD#: 118130 / SEC#: 801-76458

RIA

Registered Investment Advisory firm - (5/3/2012 Approved)

Connecticut

Registered Investment Advisory firm - (12/12/2012 Terminated)

New York

Registered Investment Advisory firm - (12/11/2012 Terminated)

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).

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

New York
(6/4/2021)

IAR

Texas
(3/16/2016)

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

State Security Law Exam

IAR

Series 66

Date: 12/22/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 3/21/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/17/2003

General Securities Representative Examination

Current Firm

MAIN STREET FINANCIAL

MAIN STREET FINANCIAL | MAIN STREET FINANCIAL LLC

CRD#: 118130 / SEC#: 801-76458

RIA

Registered Investment Advisory firm - (5/3/2012 Approved)

Connecticut

Registered Investment Advisory firm - (12/12/2012 Terminated)

New York

Registered Investment Advisory firm - (12/11/2012 Terminated)

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Contact information

Main Address

2500 Westchester Ave Suite 107, Purchase, NY 10577

Mailing Address

Phone number

(914) 698-8303

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAIN STREET FINANCIAL DISCLOSURE BROCHURE (12/10/2025)

Regulatory assets under management

Total Number of Accounts	264
AUM (Assets Under Management)	$ 61,328,487

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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Advisor Monitoring

Firm Stability Insights

Leo L. Cunningham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leo Lundy Cunningham's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAIN STREET FINANCIAL

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MAIN STREET FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2003

Series 31

Date: 3/21/2007

Series 7

Date: 11/17/2003

Current Firm

MAIN STREET FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAIN STREET FINANCIAL

TRUST BUT VERIFY

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