Cynthia D. Freadhoff
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 Dix Freadhoff, who also goes by Cynthia Dix Chojnacki, Cynthia Chojnacki, Cynthia Dix Freadhoff, Cynthia Freadhoff, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1983. Cynthia had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 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
November 21, 2019 - December 16, 2022
MORGAN STANLEY
October 28, 2019 - December 16, 2022
MORGAN STANLEY
October 1, 2019 - October 23, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 2016 - November 3, 2017
PNC WEALTH MANAGEMENT LLC
October 25, 2016 - November 3, 2017
PNC WEALTH MANAGEMENT LLC
October 23, 2009 - July 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 25, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 13, 1995 - August 4, 1995
BA INVESTMENT SERVICES, INC.
November 22, 1989 - September 16, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 23, 1983 - May 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
