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85 Beach Street, Westerly, RI 02891 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| 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 |
Branch Locations
85 Beach Street P.O. Box 1968, Westerly, RI 02891 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1983-03-28 |
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