Cynthia L. Bohme
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cynthia Lyn Bohme, who also goes by Cindy Becker, Cynthia Lyn Becker, Cynthia Schulz Becker, Cindy Bohme, Cynthia Lyn Schulz, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1984. Cynthia had worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2010 - March 18, 2024
BENJAMIN F. EDWARDS & COMPANY, INC.
March 18, 2009 - March 18, 2024
BENJAMIN F. EDWARDS & COMPANY, INC.
October 10, 2008 - June 23, 2010
BFE ASSET MANAGEMENT, LLC
February 25, 2008 - March 18, 2008
EDWARD JONES
January 25, 2008 - March 18, 2008
EDWARD JONES
January 25, 1984 - October 8, 1998
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENJAMIN EDWARDS, INC. | OWNER | |
| BAUMANN, NEAL JAMES | DIRECTOR/REGIONAL DIRECTOR | 1480636 |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| DELINIERE, ROLAND HAROLD | DIRECTOR/REGIONAL DIRECTOR | 1038322 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| FELLOWS, MARK PATTERSON | DIRECTOR/REGIONAL DIRECTOR | 1600661 |
| HANSON, DAVID WILLIAM | DIRECTOR | 715793 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS | 1138380 |
| SALAMON, MATTHEW R | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | 1858581 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| WELKER, JOANNE MARIE | DIRECTOR/MANAGER ADVISORY SERVICES | 2300075 |
| WHITING, CHRISTOPHER MARK | DIRECTOR OF FINANCIAL STRATEGIES GROUP | 2242513 |
| WISDOM, BILLY JOE | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | 1810908 |
Regulatory assets under management
| Total Number of Accounts | 49,475 |
| AUM (Assets Under Management) | $ 15,656,482,908 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/20/2023 | ||
| 10/28/2022 |
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.
