James C. Cunningham
STRATEGIC ADVISERS LLC | Financial Consultant
GERMANTOWN, WI
Some features on this profile are disabled
CRD#: 6087171
Professional summary
James C Cunningham, who also goes by James Carroll Cunningham, James Cunningham, Jay Cunningham, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Germantown, Wisconsin and FIDELITY BROKERAGE SERVICES LLC located in Mequon, Wisconsin.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. James has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Throughout my career, even within my immediate family, I've seen the impact financial decisions have on people's lives, both positively and negatively. So, as your Financial Consultant, I take a personal interest in understanding your unique financial situation, goals, and priorities. Together, we can build a customized financial plan that will focus on your financial well-being. Establishing Fidelity as a relationship you can trust and rely on is equally important to me.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Carroll Cunningham | James Cunningham | Jay 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.
OBA-63909|OrgNmn:RunFit Nutrition|Org Addr:Germantown,Wisconsin,US|OBA Nature:Nutritional Supplements|Invst Rel:N|Title:Owner|Duties:Manage inventory, respond to customers, manage website.|StrtDt:07-01-2017|TotHrs/mon:10|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view James C Cunningham's 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®
NoneEducation
Texas A&M University
Bachelor of Science (BS) - Economics
2010
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 11721 N Port Washington Rd Ste 100, Mequon, WI 53092-3419RIA
CRD#: 104555
GERMANTOWN, WI
Current
December 13, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 11721 N Port Washington Rd Ste 100, Mequon, WI 53092BD
CRD#: 7784
Mequon, WI
Past
December 17, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
MEQUON, WI
Past
September 27, 2017 - October 29, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MEQUON, WI
Past
September 27, 2017 - October 29, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MEQUON, WI
Past
January 12, 2015 - October 3, 2017
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
PEWAUKEE, WI
Past
January 12, 2015 - October 3, 2017
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PEWAUKEE, WI
Past
May 9, 2013 - December 31, 2014
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
MENOMONEE FALLS, WI
Past
May 9, 2013 - January 5, 2015
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
MENOMONEE FALLS, WI
Past
September 10, 2012 - May 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAUKESHA, WI
Past
August 13, 2012 - May 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAUKESHA, WI
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(12/13/2021)
RR
Arkansas(7/18/2023)
RR
California(3/25/2023)
RR
Connecticut(9/12/2024)
RR
Florida(12/13/2021)
RR
Georgia(7/8/2022)
RR
Illinois(12/13/2021)
RR
Indiana(6/28/2023)
RR
Massachusetts(9/29/2023)
RR
Michigan(12/13/2021)
RR
Minnesota(12/13/2021)
RR
New York(3/1/2024)
RR
South Carolina(2/17/2023)
RR
Tennessee(7/19/2024)
RR
Texas(12/13/2021)
IAR
Texas(3/31/2025)
RR
Virginia(7/8/2022)
RR
Washington(4/22/2025)
RR
Wisconsin(12/13/2021)
IAR
Wisconsin(3/31/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Germantown, WITRUST BUT VERIFY
Monitor James Cunningham
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
