Louis E. 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.
Louis Eugene Cunningham, who also goes by Louis E Cunningham, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1971. Louis had worked at 12 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2004 - June 30, 2006
SIGMA FINANCIAL CORPORATION
March 22, 2000 - November 17, 2003
QUESTAR CAPITAL CORPORATION
December 16, 1995 - March 20, 2000
PRIM SECURITIES, INCORPORATED
January 3, 1989 - December 19, 1995
MARINER FINANCIAL SERVICES, INC.
July 14, 1986 - December 13, 1988
CRANE & CO. SECURITIES INCORPORATED
March 22, 1983 - June 18, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
January 26, 1977 - March 17, 1983
MUTUAL SERVICE CORPORATION
November 10, 1975 - June 12, 1977
WADDELL & REED
November 25, 1974 - December 24, 1975
AMERICAN EXPRESS FINANCIAL CORPORATION
November 25, 1974 - December 24, 1975
AMERIPRISE FINANCIAL SERVICES, LLC
November 25, 1974 - December 24, 1975
IDS LIFE INSURANCE COMPANY
January 21, 1971 - October 30, 1971
EASTERN STATES INVESTORS CORP.
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: 11/18/1974
Registered Representative ExaminationCurrent Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
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.
