Claude Cundiff
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.
Claude Cundiff, who also goes by Claude Eugene Cundiff, was a registered financial professional .
Claude is a previously registered financial professional and started their career in finance in 2004. Claude had worked at 4 firms and has passed the Series 66, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2007 - May 23, 2013
FIRST CLEARING, LLC
September 15, 2005 - April 3, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
September 15, 2005 - April 3, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
November 26, 2004 - August 15, 2005
A. G. EDWARDS & SONS, INC.
November 16, 2004 - August 15, 2005
A. G. EDWARDS & SONS, INC.
January 27, 2004 - October 27, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/14/2004
Limited Representative-Equity Trader ExamCurrent Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
