Cynthia Schafer
Professional summary
Cynthia Schafer, who also goes by Cynthia L Doerr, Cynthia L Schafer, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Chicago, Illinois.
Cynthia is registered as a RR (Registered Representative) and started their career in finance in 1982. Cynthia has worked at 14 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cynthia Schafer's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 200 South Wacker Drive Suite 700, Chicago, IL 60606January 28, 2013 - July 22, 2022
NATIONAL SECURITIES CORPORATION
January 4, 2010 - January 16, 2013
SANCTUARY SECURITIES, INC.
January 4, 2010 - January 16, 2013
SANCTUARY SECURITIES, INC.
October 5, 2009 - January 5, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - January 5, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
April 19, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 19, 2002 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
January 6, 1996 - March 1, 2002
A. G. EDWARDS & SONS, INC.
January 1, 1995 - December 21, 1995
COMERICA SECURITIES
March 28, 1994 - December 31, 1995
FIMCO SECURITIES GROUP, INC.
March 10, 1994 - January 1, 1995
COMERICA FINANCIAL SERVICES, INC.
July 13, 1993 - February 23, 1994
INVEST FINANCIAL CORPORATION
February 28, 1992 - July 16, 1993
FIRST COLONIAL INVESTMENT SERVICES, INC.
August 29, 1991 - February 4, 1992
CETERA FINANCIAL SPECIALISTS LLC
October 1, 1990 - February 21, 1991
PFS INVESTMENTS INC.
April 16, 1982 - September 21, 1988
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
