Caryn L. Kinzig
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.
Caryn Leslie Kinzig was a registered financial professional .
Caryn is a previously registered financial professional and started their career in finance in 1983. Caryn had worked at 1 firm and has passed the Series 63, Series 7 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
August 23, 1983 - February 10, 1999
CMS INVESTMENT RESOURCES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CMS INVESTMENT RESOURCES, LLC
CRD#: 10102 / SEC#: , 8-26417
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CMS HOLDCO, LLC | 100% OWNER | |
| ADAMS, JOHN TUCKER | CHIEF FINANCIAL OFFICER, FINOP, TREASURER AND VICE PRESIDENT | 6339922 |
| CLAPPER, DAVID ANDREW | VICE PRESIDENT, ASSISTANT SECRETARY AND FINOP | 5644079 |
| MITCHELL, RICHARD ALAN | SECRETARY, VICE PRESIDENT AND GENERAL COUNSEL | 2079522 |
| SILBERBERG, PAUL | PRESIDENT, CCO, REGISTERED SECURITIES PRINCIPAL | 1014371 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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