Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cynthia? Claim Your ProfileCynthia Briggs is a financial advisor with over 30 years of experience in the financial services industry. She has served clients in a variety of roles at several firms, including Lehman Brothers Inc., Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Cynthia joined Wells Fargo Clearing Services, LLC in 2010 and serves clients in Washington and Texas. Cynthia provides financial planning, investment consulting services, and portfolio management to individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
WA
03/25/2010 - Present
Wells Fargo Clearing Services, LLC (TACOMA WA)
WA
12/12/2003 - 04/08/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SEATTLE WA)
NY
07/31/1993 - 12/17/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
12/05/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 12/21/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/17/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/15/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 09/16/1993
Series 3 - National Commodity Futures Examination
BC
Issued 12/03/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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