Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Cunningham is a financial professional with over 20 years of experience in the financial services industry. Joan is currently a registered representative with BMO Capital Markets Corp. located in New York, NY. Joan's experience includes previous roles with CREDIT SUISSE SECURITIES (USA) LLC, LASALLE FINANCIAL SERVICES, INC., PODESTA & CO., LUNN PARTNERS SECURITIES, LLC, ABN AMRO INCORPORATED, and THE CHICAGO CORPORATION. Joan holds multiple licenses including Series 7, Series 24, Series 53, Series 55, Series 57TO and SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Provision of securities trading ideas and research
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fees for securities trading ideas and research
1
2
IL
09/02/2016 - Present
BMO Capital Markets Corp. (CHICAGO IL)
NY
09/17/2008 - 05/10/2016
CREDIT SUISSE SECURITIES (USA) LLC (New York NY)
IL
09/21/2006 - 04/12/2008
LASALLE FINANCIAL SERVICES, INC. (CHICAGO IL)
IL
04/05/2005 - 09/19/2006
PODESTA & CO. (CHICAGO IL)
IL
01/09/2001 - 10/05/2004
LUNN PARTNERS SECURITIES, LLC (CHICAGO IL)
CT
01/02/1997 - 04/05/2000
ABN AMRO INCORPORATED (STAMFORD CT)
IL
07/29/1996 - 01/02/1997
THE CHICAGO CORPORATION (CHICAGO IL)
BC
Issued 05/12/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/23/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/21/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/24/2003
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/26/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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