Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cynthia? Claim Your ProfileCynthia Mosley-Guy is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., based in WACO, TX. Cynthia has been in the financial services industry since 1985. Cynthia has a wide range of experience in the industry and has held positions at several firms including UBS Financial Services Inc., and Stewart/Belf Securities, Inc. Cynthia specializes in portfolio management for individuals and businesses, as well as pension consulting. Cynthia is registered in 53 states and the District of Columbia, and has a strong track record of providing financial advice to clients.
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
02/14/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WACO TX)
TX
01/29/2009 - 02/25/2020
UBS FINANCIAL SERVICES INC. (WACO TX)
TX
07/01/1997 - 01/30/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WACO TX)
NA
11/22/1985 - 01/01/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NY
10/19/1983 - 01/01/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
03/21/1985 - 11/19/1985
STEWART/BELF SECURITIES, INC.
BOTH
Issued 10/20/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/10/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/18/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/19/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/14/1985
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1983
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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