Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cynthia? Claim Your ProfileCynthia Elise Morris is a financial advisor with Janney Montgomery Scott LLC. Cynthia has been working in the financial industry since 1999. Cynthia holds Series 7, 10, 27, 31, 62, 63, 65, 99TO and SIE licenses. Cynthia also holds licenses in Arizona, Connecticut, Florida, Illinois, Maine, Massachusetts, New Hampshire, New York, Oregon, Pennsylvania, Texas, Vermont and Virginia. Previously Cynthia worked at CATE STREET SECURITIES, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, RBC DAIN RAUSCHER INC., CITIGROUP GLOBAL MARKETS INC., and DEAN WITTER REYNOLDS INC..
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.
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.
Fee plus commission
1
2
ME
06/26/2017 - Present
Janney Montgomery Scott LLC (Portland ME)
ME
11/25/2013 - 01/22/2015
CATE STREET SECURITIES, LLC (PORTLAND ME)
ME
11/20/2007 - 06/25/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PORTLAND ME)
ME
03/30/2004 - 11/01/2007
RBC DAIN RAUSCHER INC. (PORTLAND ME)
NY
09/15/2003 - 04/02/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MD
02/04/2003 - 09/15/2003
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
MD
05/14/1999 - 11/19/2002
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
04/15/1998 - 05/13/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 08/22/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/28/2014
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/29/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/23/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 04/14/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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