Bates Group Welcomes New Managing Director Jennifer L. Cunningham

Bates Group is proud to welcome new Managing Director Jennifer L. Cunningham. She is an accomplished and seasoned financial services industry professional, with over 20 years of experience working with financial advisors and customers in branch office management. Her areas of expertise include risk and supervision, customer complaints, FINRA arbitration and mediation matters, suitability, operations, sales support, Human Resources, customer communications and relations, project management and FINRA new member applications.

Ms. Cunningham has held various broker-dealer management positions during her career. At UBS Financial Services, Inc. (UBS), headquartered in Weehawken, New Jersey, she was a Director, Senior Client Communications Manager, where she worked in the Marketing office, drafting and executing UBS’s customer communications. Ms. Cunningham was a Director, Complex Administrative Manager for UBS’s Park Avenue branch office in New York City, where she supervised branch office sales support personnel along with the operations and compliance teams.

Before joining UBS in 2013, Ms. Cunningham was a Vice President, Administrative Manager at the Merrill Lynch Fifth Avenue flagship office in New York City, where her responsibilities included various compliance supervisory reviews and approvals, customer complaints, heightened supervision, liaising with in-house and outside counsel on customer litigation, as well as serving as Merrill’s corporate representative for those matters.

Prior to joining Bates, Ms. Cunningham served as a Managing Director at another consulting firm, where she provided expertise in support of broker-dealer litigation and customer complaint matters, prepared FINRA broker-dealer New Member Applications, and served as lead project manager for specialized regulatory and compliance consulting retentions. Ms. Cunningham began her financial services career in the early 1990’s in Wilmington, Delaware. She became a FINRA licensed Sales Assistant in 1997 and has held FINRA Series 7, 9, 10, 31, 63 and Series 65 licenses.