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Christopher John Cunningham

Wells Fargo Clearing Services, LLC

Westport, CT

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2003-06-11
  • CT RA
    APPROVED
    Since 2003-06-11

Branch Locations

450 Post Road E, Westport, CT 06880 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Old Greenwich CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Old Greenwich CT 11/2016 Present
Other Businesses

TRUSTEE FOR FAMILY TRUST, INV RELATED, NEW CANAAN, CT, START 8/28/2005, .25 HOURS PER QUARTER, ZERO DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-06-09
S63 Uniform Securities Agent State Law Examination 1991-04-08
  • S65 Uniform Investment Adviser Law Examination
    2003-06-09
  • S63 Uniform Securities Agent State Law Examination
    1991-04-08

View on SEC IAPD

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QUORUS INC. · WESTPORT, CT
DIVYDE CAPITAL PARTNERS L.P. · WESTPORT, CT
MORGAN STANLEY · Westport, CT
EQUITABLE ADVISORS, LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
SENECA WEALTH ADVISORS, LLC · WESTPORT, CT
PARK AVENUE SECURITIES LLC · WESTPORT, CT

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