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WC

William R. Cunningham

SAXONY CAPITAL MANAGEMENT
Lincolnshire, IL 60069
Some features on this profile are disabled
CRD#: 850999
WC

Professional summary

William Robert Cunningham, who also goes by Bill Cunningham, is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in Lincolnshire, Illinois and SAXONY SECURITIES, INC. located in Lincolnshire, Illinois.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. William has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bill 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Robert 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

August 17, 2017 - Present

SAXONY CAPITAL MANAGEMENT, LLC

Office #1: 111 Barclay Blvd. Suite 207, Lincolnshire, IL 60069
RIA
CRD#: 122692
Lincolnshire, IL
Current

January 30, 2017 - Present

SAXONY SECURITIES, INC.

Office #1: 111 Barclay Blvd. Suite 207, Lincolnshire, IL 60069
BD
CRD#: 115547
Lincolnshire, IL
Past

May 2, 2016 - January 20, 2017

USA FINANCIAL SECURITIES LLC

RIA
CRD#: 103857
Lincolnshire, IL
Past

January 27, 2016 - January 20, 2017

USA FINANCIAL SECURITIES LLC

BD
CRD#: 103857
Lincolnshire, IL
Past

March 1, 2005 - January 28, 2016

FORESIGHT INVESTMENTS, LLC

BD
CRD#: 132644
NORTHBROOK, IL
Past

October 1, 2003 - July 13, 2005

JERSEY SHORE TRADING GROUP INC.

BD
CRD#: 47440
RED BANK, NJ
Past

October 11, 2002 - January 6, 2003

PHILLIP LOUIS TRADING, INC.

BD
CRD#: 19378
RED BANK, NJ
Past

October 1, 2002 - October 2, 2002

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

July 1, 1998 - October 1, 2002

LISS FINANCIAL SERVICES

BD
CRD#: 21950
MILWAUKEE, WI
Past

November 30, 1994 - July 7, 1998

R. D. KUSHNIR & CO.

BD
CRD#: 24013
NORTHBROOK, IL
Past

December 1, 1989 - October 27, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 20, 1985 - December 11, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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".
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING

CRD#: 122692 / SEC#: 801-68385

RIA
Registered Investment Advisory firm - (10/15/2007 Approved)
Arkansas
Registered Investment Advisory firm - (10/15/2007 Terminated)
California
Registered Investment Advisory firm - (10/15/2007 Terminated)
Connecticut
Registered Investment Advisory firm - (10/15/2007 Terminated)
Florida
Registered Investment Advisory firm - (10/15/2007 Terminated)
Indiana
Registered Investment Advisory firm - (10/24/2005 Terminated)
Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)
Mississippi
Registered Investment Advisory firm - (10/24/2005 Terminated)
Missouri
Registered Investment Advisory firm - (10/15/2007 Terminated)
New Jersey
Registered Investment Advisory firm - (10/24/2007 Terminated)
North Carolina
Registered Investment Advisory firm - (10/15/2007 Terminated)
Ohio
Registered Investment Advisory firm - (10/15/2007 Terminated)
South Carolina
Registered Investment Advisory firm - (11/9/2005 Terminated)
Tennessee
Registered Investment Advisory firm - (5/31/2006 Terminated)
Texas
Registered Investment Advisory firm - (10/15/2007 Terminated)
Utah
Registered Investment Advisory firm - (12/31/2006 Terminated)
Wisconsin
Registered Investment Advisory firm - (10/15/2007 Terminated)

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
Florida
(1/6/2022)
RR
Illinois
(3/14/2017)
IAR
Illinois
(8/17/2017)
RR
New Jersey
(1/30/2017)
RR
New York
(1/30/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/30/2016
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/3/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/15/1986
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 7
Date: 11/16/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/9/1984
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 1
Date: 4/3/1978
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING

CRD#: 122692 / SEC#: 801-68385

RIA
Registered Investment Advisory firm - (10/15/2007 Approved)
Arkansas
Registered Investment Advisory firm - (10/15/2007 Terminated)
California
Registered Investment Advisory firm - (10/15/2007 Terminated)
Connecticut
Registered Investment Advisory firm - (10/15/2007 Terminated)
Florida
Registered Investment Advisory firm - (10/15/2007 Terminated)
Indiana
Registered Investment Advisory firm - (10/24/2005 Terminated)
Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)
Mississippi
Registered Investment Advisory firm - (10/24/2005 Terminated)
Missouri
Registered Investment Advisory firm - (10/15/2007 Terminated)
New Jersey
Registered Investment Advisory firm - (10/24/2007 Terminated)
North Carolina
Registered Investment Advisory firm - (10/15/2007 Terminated)
Ohio
Registered Investment Advisory firm - (10/15/2007 Terminated)
South Carolina
Registered Investment Advisory firm - (11/9/2005 Terminated)
Tennessee
Registered Investment Advisory firm - (5/31/2006 Terminated)
Texas
Registered Investment Advisory firm - (10/15/2007 Terminated)
Utah
Registered Investment Advisory firm - (12/31/2006 Terminated)
Wisconsin
Registered Investment Advisory firm - (10/15/2007 Terminated)
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Contact information

Main Address
11152 S Towne Square, Saint Louis, MO 63123
Mailing Address
Phone number
(314) 963-9336
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCM BROCHURE 1.15.26 (1/15/2026)

Regulatory assets under management

Total Number of Accounts1,488
AUM (Assets Under Management)$ 367,861,457

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

SAXONY CAPITAL MANAGEMENT, LLC

CRD#: 122692Lincolnshire, IL 60069

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