Craig M. 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.
Craig M Cunningham was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1980. Craig had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2017 - April 1, 2022
WATERLOO CAPITAL
February 17, 2017 - May 18, 2020
CALTON & ASSOCIATES, INC.
October 5, 2009 - February 22, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - February 22, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
December 5, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
February 29, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
October 29, 1999 - March 3, 2008
MORGAN KEEGAN & COMPANY, LLC
October 29, 1999 - March 3, 2008
MORGAN KEEGAN & COMPANY, LLC
October 11, 1992 - November 9, 1999
A. G. EDWARDS & SONS, INC.
April 25, 1988 - August 23, 1988
K. J. BROWN & CO., INC.
April 24, 1980 - April 5, 1988
EDWARD JONES
Primary Firm SEC Registration
WATERLOO CAPITAL
CRD#: 133705 / SEC#: 801-63975
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
Current Firm
WATERLOO CAPITAL
CRD#: 133705 / SEC#: 801-63975
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,775 |
| AUM (Assets Under Management) | $ 1,686,618,820 |
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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