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Derek D. Cunningham

Some features on this profile are disabled
CRD#: 4988119
DC

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.

Derek Downey Cunningham was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2005. Derek had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 7, 2016 - June 24, 2019

CAPE SECURITIES INC.

BD
CRD#: 7072
Alpharetta, GA
Past

February 8, 2016 - August 26, 2016

HARBOR LIGHT SECURITIES, LLC

BD
CRD#: 130227
Atlanta, GA
Past

February 17, 2015 - December 17, 2015

HEED PARTNERS, LLC

BD
CRD#: 157988
ATLANTA, GA
Past

August 2, 2013 - January 13, 2015

MOODY CAPITAL SOLUTIONS, INC

BD
CRD#: 15989
ATLANTA, GA
Past

October 26, 2007 - March 12, 2008

SAMCO CAPITAL MARKETS, INC.

BD
CRD#: 136532
AUSTIN, TX
Past

October 1, 2007 - May 28, 2013

COMMERCE STREET CAPITAL, LLC

BD
CRD#: 143797
ATLANTA, GA
Past

May 19, 2006 - October 1, 2007

SAMCO CAPITAL MARKETS, INC.

BD
CRD#: 136532
DULUTH, GA
Past

September 20, 2005 - May 19, 2006

PENSON FINANCIAL SERVICES, INC.

BD
CRD#: 25866
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/27/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/2005
General Securities Representative Examination

Current Firm

CS
CAPE SECURITIES INC.
CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Mailing Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Phone number
(678) 583-1120
Established
North Carolina since 02/23/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BACHMANN, KEVIN SCOTTPRESIDENT1406637
CIANTRO, PHILIPCCO2350685
CIANTRO, PHILIPFINOP2350685
JOKELA, JOHN KEVINCOO5474831

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CAPE SECURITIES INC.

CRD#: 7072

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