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Detailed Report
JOHN JOSEPH CUNNINGHAM
JACK CUNNINGHAM
CRD#: 1046890
IA
Investment Adviser
B
Broker
ESI FINANCIAL ADVISORSCRD#: 265 333 WESTCHESTER AVENUE
SOUTH BUILDING SUITE 3302
WHITE PLAINS, NY 10604
Registration History
1985199019952000200520102015202020252 FIRMS2017 - Present (7 years)BCRT CAPITAL GROUP LLC (CRD# 28830)2009 - 2010 (<1 year)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2009 - 2009 (<1 year)BNEUBERGER BERMAN, LLC (CRD# 2908)2008 - 2008 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 2008 (19 years)BLEHMAN GOVERNMENT SECURITIES INC. (CRD# 19655)1990 - 1995 (5 years)BSALOMON BROTHERS INC. (CRD# 740)1983 - 1987 (4 years)IABOSTON HARBOR INVESTMENT MANAG... (CRD# 165554)2013 - 2017 (4 years)
Disclosure(s)
View By:
7/2/2013
Judgment / Lien
License(s)

State Registrations

B
Arizona 2/24/2023
B
New York 1/23/2018
B
Connecticut 8/29/2017
IA
New York 6/22/2021
IA
Connecticut 8/29/2017
B
North Carolina 1/16/2025
B
Florida 2/14/2023
B
Pennsylvania 2/14/2023
B
New Jersey 3/8/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ESI FINANCIAL ADVISORS (CRD#:265)
333 WESTCHESTER AVENUE SOUTH BUILDING SUITE 3302, WHITE PLAINS, NY 10604
Registered with this firm since 8/29/2017
B
EQUITY SERVICES, INC. (CRD#:265)
333 WESTCHESTER AVENUE SOUTH BUILDING SUITE 3302, WHITE PLAINS, NY 10604
Registered with this firm since 8/29/2017
Previous Registration(s)
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IA
 01/02/2013 - 06/02/2017 BOSTON HARBOR INVESTMENT MANAGEMENT (CRD#:165554) BEDFORD, MA
B
 11/18/2009 - 09/08/2010 CRT CAPITAL GROUP LLC (CRD#:28830) STAMFORD, CT
B
 03/17/2009 - 11/18/2009 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) NEW YORK CITY, NY
B
 01/23/2008 - 11/18/2008 NEUBERGER BERMAN, LLC (CRD#:2908) NEW YORK, NY
B
 02/29/1988 - 01/24/2008 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 03/13/1990 - 10/23/1995 LEHMAN GOVERNMENT SECURITIES INC. (CRD#:19655)
B
 09/02/1983 - 11/09/1987 SALOMON BROTHERS INC. (CRD#:740) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.