Dudley Cunningham

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CRD#: 58747

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.

Dudley Cunningham was a registered financial professional .

Dudley is a previously registered financial professional and started their career in finance in 1970. Dudley had worked at 6 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?

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

March 10, 2015 - October 22, 2024

SVB WEALTH

RIA

CRD#: 172832

BOSTON, MA

Past

February 23, 1979 - October 22, 1987

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

April 28, 1976 - February 23, 1979

MOSELEY, HALLGARTEN & ESTABROOK INC

CRD#: 7501

Past

April 26, 1974 - April 28, 1976

MOSELEY, HALLGARTEN & ESTABROOK INC.

CRD#: 6679

Past

August 10, 1973 - April 26, 1974

F. S. MOSELEY, ESTABROOK INC.

CRD#: 6524

Past

September 1, 1970 - August 10, 1973

ESTABROOK & CO., INC.

CRD#: 267

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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.

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

General Industry/Product Exam

Series 1

Date: 8/17/1970

Registered Representative Examination

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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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Dudley Cunningham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SVB WEALTH

MOSELEY SECURITIES CORPORATION

MOSELEY, HALLGARTEN & ESTABROOK INC

MOSELEY, HALLGARTEN & ESTABROOK INC.

F. S. MOSELEY, ESTABROOK INC.

ESTABROOK & CO., INC.

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 1

Date: 8/17/1970

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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