Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cynthia? Claim Your ProfileCynthia Kelley has been in the financial services industry since 2001. Cynthia is a Registered Representative and Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Inc., where she has been employed since 2005. Previously, Cynthia was employed by MORGAN STANLEY DW INC. and WACHOVIA SECURITIES, LLC. Cynthia is licensed to provide financial advice in 13 states. Cynthia holds the Series 31, Series 7 and Series 66 licenses, as well as the Securities Industry Essentials (SIE) Exam.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
01/11/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
10/05/2004 - 12/19/2005
MORGAN STANLEY DW INC. (HOUSTON TX)
MO
12/05/2003 - 04/07/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
09/13/1999 - 07/30/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 07/01/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 06/24/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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