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JC

Jacquelyn A. Cunningham

SIEBERT WILLIAMS SHANK & CO.
Austin, TX 78746
Some features on this profile are disabled
CRD#: 6677977
JC

Professional summary

Jacquelyn Ayn Cunningham, who also goes by Jacquelyn Cunningham, Jacki Ayn Smyth, Jacquelyn Ayn Smyth, Jacquelyn Smyth, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in Austin, Texas.

Jacquelyn is registered as a RR (Registered Representative) and started their career in finance in 2016. Jacquelyn has worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jacquelyn Cunningham | Jacki Ayn Smyth | Jacquelyn Ayn Smyth | Jacquelyn Smyth

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 Jacquelyn Ayn 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

October 29, 2020 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 206 S. Wild Basin Road Suite 107 - Bldg. A, Austin, TX 78746
BD
CRD#: 42568
Austin, TX
Past

July 16, 2019 - October 27, 2020

UMB FINANCIAL SERVICES, INC.

BD
CRD#: 17073
Dallas, TX
Past

October 10, 2016 - July 16, 2019

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
DALLAS, TX

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
Texas
(10/29/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/14/2017
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 10/10/2016
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SW
SIEBERT WILLIAMS SHANK & CO., LLC
SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

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

Main Address
100 Wall Street 18th Floor, New York, NY 10005
Mailing Address
100 Wall Street 18th Floor, New York, NY 10005
Phone number
(646) 775-4850
Established
Delaware since 03/10/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 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#
SHANK WILLIAMS CISNEROS, LLCOWNER
CALABRISOTTO, DIANNE NMNAML OFFICER1273900
CALABRISOTTO, DIANNE NMNCHIEF COMPLIANCE OFFICER & COO1273900
CHANDA, ATEESH SINGHCHIEF LEGAL OFFICER6973151
DIAZ, DANIELFINANCIAL PRINCIPAL2214417
HALL, GARYCO-PRESIDENT4393662
SHANK-WERDLOW, SUZANNE FRANCESCEO, DIRECTOR OF PARENT1860931
THOMPSON, WILLIAM COLRIDGE JRCHIEF ADMINISTRATIVE OFFICER2316101
WARNER, SOBANI MULENGACO-PRESIDENT1732009

Disclosures

Regulatory Event4

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

SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568Austin, TX 78746

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