Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Roy Cunningham is a financial advisor with over 30 years of experience in the financial services industry. Michael Roy Cunningham is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since April 2012. Michael Roy Cunningham has previously been registered with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Glickenhaus & Co., Midland Montagu Securities Inc., and Printon, Kane Group, Inc.. Michael Roy Cunningham is a Series 7, Series 31, Series 63, and Series 65 licensed professional.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
11/16/2022 - Present
Wells Fargo Clearing Services, LLC (ROLLING HILLS ESTATES CA)
CA
06/01/2009 - 05/02/2012
MORGAN STANLEY SMITH BARNEY (EL SEGUNDO CA)
CA
04/01/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (EL SEGUNDO CA)
NY
09/17/1991 - 04/16/1992
GLICKENHAUS & CO. (NEW YORK NY)
NA
11/21/1989 - 09/19/1990
MIDLAND MONTAGU SECURITIES INC.
NA
09/01/1989 - 10/24/1989
PRINTON, KANE GROUP, INC.
NA
02/18/1988 - 09/01/1989
PRINTON, KANE GOVERNMENT SECURITIES, INC.
IA
Issued 10/29/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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