John L. Cunnie
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.
John Leo Cunnie was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1966. John had worked at 5 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2001 - December 31, 2018
PORTSMOUTH FINANCIAL SERVICES
December 14, 1992 - May 9, 2001
PIPER SANDLER & CO.
July 2, 1990 - December 14, 1992
HENRY F. SWIFT & CO.
November 8, 1988 - July 16, 1990
WEDBUSH SECURITIES INC.
October 18, 1966 - July 16, 1990
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/3/1959
Registered Representative ExaminationCurrent Firm
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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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