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JC

James F. Cunningham

WATERWAY CAPITAL LLC
Boston, MA 02116
Some features on this profile are disabled
CRD#: 5134712
JC

Professional summary

James Francis Cunningham, who also goes by James F Cunningham, Jim Cunningham, is a registered financial professional currently at WATERWAY CAPITAL LLC located in Boston, Massachusetts.

James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has worked at 4 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James F Cunningham | Jim 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Francis 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®
None

Experience

Current

May 2, 2013 - Present

WATERWAY CAPITAL LLC

Office #1: 699 Boylston St. Eighth Floor, Boston, MA 02116Office #2: 699 Boylston Street Eighth Floor, Boston, MA 02116
BD
CRD#: 128212
Boston, MA
Past

April 29, 2010 - February 9, 2012

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 8, 2009 - April 6, 2010

R.W.PRESSPRICH & CO.

BD
CRD#: 26460
NEW YORK, NY
Past

December 19, 2006 - March 30, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BOSTON, MA
Past

July 19, 2006 - March 30, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BOSTON, MA

State Registrations and Notice Filings

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

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
Massachusetts
(5/6/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/18/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/5/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/28/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WATERWAY CAPITAL LLC
BOSTONIA GLOBAL SECURITIES, LLC | WATERWAY CAPITAL LLC

CRD#: 128212 / SEC#: , 8-66108

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

Main Address
699 Boylston Street Eighth Floor, Boston, MA 02116
Mailing Address
699 Boylston Street Eighth Floor, Boston, MA 02116
Phone number
(617) 226-8100
Established
Massachusetts since 04/25/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 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#
WATERWAY PARTNERS LLCOWNER
HOPKINS, THOMAS JOHNFINOP, POO, & PFO1835087
SARGENT, THOMAS ALLINGPRESIDENT/CEO1111329
WARD, ANA FORTESCCO3274959

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.

Company Information

WATERWAY CAPITAL LLC

CRD#: 128212Boston, MA 02116

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