Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cynthia? Claim Your ProfileCynthia Harless is a financial advisor who has been in the industry since April 1992. Cynthia is currently registered with Raymond James & Associates, Inc. as an investment advisor representative. Cynthia has been registered with Raymond James & Associates, Inc. since February 2013. Previously, Cynthia was registered with MORGAN KEEGAN & COMPANY, INC. and J.J.B. HILLIARD, W.L. LYONS, INC. Cynthia has a Series 63, Series 65, Series 7, and SIE license. Cynthia is registered in 16 states and provides a variety of financial services 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.
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.
Please see note in schedule d - miscellaneous
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
TN
02/13/2013 - Present
Raymond James & Associates, Inc. (KNOXVILLE TN)
TN
06/04/2004 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (KNOXVILLE TN)
KY
04/02/1992 - 06/15/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
IA
Issued 11/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/09/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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