Cynthia D. Phillips
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 Diana Phillips, who also goes by Cynthia Goforth, Cynthia Diana Vaughn, Cynthia Vaughn, 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 63, Series 7, Series 27 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
July 1, 1994 - May 21, 1996
AQUILA FINANCIAL, INC.
February 2, 1993 - May 12, 1993
JOSEPH ROBERTS & CO., INC.
November 19, 1992 - May 26, 1995
REGENCY CAPITAL GROUP, INC.
March 7, 1992 - August 31, 1992
AMR SECURITIES, INC.
January 18, 1991 - October 2, 1991
FIRST GLOBAL SECURITIES, INC.
November 1, 1988 - October 26, 1990
SPENCER EDWARDS, INC.
December 6, 1985 - November 17, 1987
MASON, HUNT & CO., INC.
June 26, 1985 - November 13, 1985
HAL WEBER & COMPANY
June 22, 1983 - June 3, 1985
TITAN/VALUE EQUITIES GROUP, 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
Exams
Current Firm
AQUILA FINANCIAL, INC.
CRD#: 29083 / SEC#: , 8-44096
Contact information
Documents
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.
