James Francis Cunningham Jr
Professional Summary
James Francis Cunningham JR was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1979 - 1990. James had worked at 3 firms and has passed the Series 63, Series 7, Series 22, Series 1, Series 39 and F04 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITOL MUNICIPAL SECURITIES, INC. | CAPITOL SECURITIES GROUP, INC.
Contact Information
Established
Texas since 07/27/1979Firm Type
CorporationFiscal Year End
SeptemberDocuments
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Feb 1983About the Series 22 examSeries 1 — Registered Representative Examination
Passed Apr 1980Series 39 — Direct Participation Programs Principal Examination
Passed Feb 1983About the Series 39 examF04 — Financial Principal Examination
Passed Jan 1979Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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