Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
VERNON CUNNINGHAM
VERNON BURDELL CUNNINGHAM
CRD#: 2239920
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 Annapolis, MD
LPL FINANCIAL LLCCRD#: 6413 ANNAPOLIS, MD
Registration History
19952000200520102015202020252 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1998 - 2009 (10 years)BSMITH BARNEY SHEARSON INC. (CRD# 7059)1993 - 1994 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2009 (6 years)
Disclosure(s)
View By:
6/9/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Delaware 11/9/2012
B
Nevada 2/8/2013
B
Florida 7/15/2013
B
Pennsylvania 11/9/2012
B
Maryland 11/9/2012
B
Virginia 4/11/2016
IA
Maryland 11/21/2012

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
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
Annapolis, MD
Registered with this firm since 11/21/2012
B
LPL FINANCIAL LLC (CRD#:6413)
ANNAPOLIS, MD
Registered with this firm since 11/9/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/03/2009 - 11/13/2012 PNC INVESTMENTS (CRD#:129052) ANNAPOLIS, MD
B
 09/03/2009 - 11/13/2012 PNC INVESTMENTS (CRD#:129052) ANNAPOLIS, MD
IA
 09/11/2002 - 08/25/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ANNAPOLIS, MD
B
 11/11/1998 - 08/25/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ANNAPOLIS, MD
B
 07/31/1993 - 03/29/1994 SMITH BARNEY SHEARSON INC. (CRD#:7059) NEW YORK, NY
B
 06/10/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) 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.