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Current Employers
First Financial Advisory Services Inc

85 Beach Street, Westerly, RI 02891 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2017-01-25
TX RA APPROVED_RES 2015-08-28
VA RA APPROVED 2007-03-06
MA RA APPROVED 1994-04-14
RI RA APPROVED 1993-01-01
CT RA APPROVED 1992-06-22
  • PA RA
    APPROVED
    Since 2017-01-25
  • TX RA
    APPROVED_RES
    Since 2015-08-28
  • VA RA
    APPROVED
    Since 2007-03-06
  • MA RA
    APPROVED
    Since 1994-04-14
  • RI RA
    APPROVED
    Since 1993-01-01
  • CT RA
    APPROVED
    Since 1992-06-22

Branch Locations

85 Beach Street P.O. Box 1968, Westerly, RI 02891 • 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
First Allied Securities, Inc. Westerly RI 05/1989 09/2022
First Financial Advisory Services, Inc. Westerly RI 08/2004 Present
Geraldine B. Cunningham & Associates Westerly RI 07/1996 Present
Cetera Advisors Llc Westerly RI 09/2022 Present
First Allied Securities,Inc Westerly RI 01/1991 Present
  • 05/1989 → 09/2022
    First Allied Securities, Inc.
    Westerly, RI
  • 08/2004 → Present
    Westerly, RI
  • 07/1996 → Present
    Geraldine B. Cunningham & Associates
    Westerly, RI
  • 09/2022 → Present
    Cetera Advisors Llc
    Westerly, RI
  • 01/1991 → Present
    First Allied Securities,Inc
    Westerly, RI
Previous Registrations
  • 2000-01-01 → 2011-09-29
    First Allied Securities, Inc.
    Westerly, RI
Other Businesses

1.) GERALDINE CUNNINGHAM; AGENT; INSURANCE; START DATE: 10/1/2010 2.) FIRST FINANCIAL ADVISORY SERVICES; REGISTERED INVESTMENT ADVISOR; PRESIDENT AND TREASURER; START DATE: 01/01/2012; 80 HOURS PER MONTH. 3.) ESTATE PLANNING COUNCIL OF RI; MEMBER; NON-PROFIT ORGANIZATION; START DATE: 07/01/1999 4.) GBC ASSOCIATES; MEMBER; HOLDING COMPANY; START DATE: 02/04/96; 4 HOURS PER MONTH. 5.) DAVID J & GERALDINE B CUNNINGHAM JTWROS; PARTNER; REAL ESTATE; START DATE: 06/01/2015; 4 HOURS PER MONTH. 6.) HARRY STOVER TRUST; TRUSTEE; START DATE: 2008 7.) FINRA ARBITRATION; ARBITRATOR; ARBITRATOR/EXPERT WITNESS; START DATE: 5/26/2005; 4 HOURS PER MONTH. 8.) RHODE ISLAND NOTARY; NOTARY PUBLIC; ATTORNEY/PARALEGAL/NOTARY SERVICES; START DATE: 06/20/2021; 4 HOURS PER MONTH. 9) NAME OF OTHER BUSINESS: FIRST ALLIED SECURITIES,INC.; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/1991, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-03-28
  • S63 Uniform Securities Agent State Law Examination
    1983-03-28
Other Names
  • Gerry Cunningham

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