Cynthia B. Rogers
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 Boenitsch Rogers, who also goes by Cynthia Gene Boenitsch, Cindy Brackett, Cynthia G Brackett, Cynthia Gene Brackett, Cynthia G Rogers, Cynthia Gene Rogers, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1983. Cynthia had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 31, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2018 - April 7, 2022
ALLWORTH FINANCIAL, L.P.
April 13, 2012 - February 7, 2019
SIMPLY MONEY ADVISORS
December 18, 2009 - May 4, 2012
CYNTHIA ROGERS, LLC
June 1, 2009 - July 29, 2009
MORGAN STANLEY
June 1, 2009 - July 29, 2009
MORGAN STANLEY
September 4, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 4, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 10, 1998 - December 11, 1998
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 15, 1994 - June 13, 1996
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 24, 1990 - August 31, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 23, 1989 - February 27, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 18, 1989 - October 17, 1989
MUTUAL SERVICE CORPORATION
December 21, 1983 - February 27, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1983 - December 8, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
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 8
Date: 4/17/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 64,930 |
| AUM (Assets Under Management) | $ 25,097,132,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/05/2025 |
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.
