Raymond R. Cunningham
Professional summary
Raymond Roy Cunningham was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Raymond is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Raymond had worked at 9 firms, which includes INVESCO DISTRIBUTORS INC., FUND MANAGEMENT COMPANY, GT GLOBAL INC., ADVANTAGE CAPITAL CORPORATION, AMERICAN CAPITAL MARKETING INC., MASSACHUSETTS FINANCIAL SERVICES COMPANY, THE GREAT-WEST LIFE ASSURANCE COMPANY, THE VARIABLE ANNUITY MARKETING COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2003 - October 14, 2004
INVESCO DISTRIBUTORS, INC.
December 2, 2003 - October 15, 2004
FUND MANAGEMENT COMPANY
April 22, 1999 - June 10, 2004
INVESCO DISTRIBUTORS, INC.
May 20, 1992 - July 16, 1998
GT GLOBAL, INC.
October 14, 1986 - December 5, 1989
ADVANTAGE CAPITAL CORPORATION
October 14, 1986 - May 12, 1992
AMERICAN CAPITAL MARKETING, INC.
June 25, 1986 - October 24, 1986
MASSACHUSETTS FINANCIAL SERVICES COMPANY
January 11, 1984 - May 10, 1985
THE GREAT-WEST LIFE ASSURANCE COMPANY
December 17, 1980 - May 31, 1983
THE VARIABLE ANNUITY MARKETING COMPANY
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
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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