James P. Cunningham
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.
James Paul Cunningham, who also goes by Paul Cunningham, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 8 firms and has passed the Series 63, Series 65, Series 7, Series 1, Series 26, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2013 - July 28, 2016
SIGNAL RESEARCH GROUP LLC
January 26, 2007 - July 2, 2012
MERIT ADVISORS, INC.
January 1, 2003 - October 25, 2004
CHRISTIE MANAGEMENT SERVICES, LLC
April 9, 1999 - November 2, 2000
RHODES SECURITIES, INC.
January 2, 1998 - December 31, 2005
MERIT ADVISORS, INC.
August 15, 1989 - October 22, 1991
INVESTACORP, INC.
August 18, 1986 - August 22, 1989
CETERA WEALTH SERVICES, LLC
July 3, 1984 - August 28, 1986
LEHMAN BROTHERS INC.
April 15, 1981 - July 5, 1984
RAUSCHER PIERCE REFSNES, INC.
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 1
Date: 4/27/1959
Registered Representative ExaminationSeries 12
Date: 5/1/1978
NYSE Branch Manager ExaminationCurrent Firm
SIGNAL RESEARCH GROUP LLC
CRD#: 166392 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 152 |
| AUM (Assets Under Management) | $ 16,446,504 |
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.
