Cynthia V. Grantham
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 Vanessa Grantham, who also goes by Cindy Vanessa Grantham, Cindy Grantham, Cynthia V Grantham, Cynthia Roomina, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1984. Cynthia had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2005 - August 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2005 - August 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1998 - August 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 1998 - August 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 1, 1993 - April 1, 1998
BARNETT INVESTMENTS, INC.
June 1, 1992 - August 30, 1993
GLENFED BROKERAGE SERVICES
October 31, 1990 - March 5, 1992
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
October 4, 1990 - June 12, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 6, 1985 - October 10, 1990
INVEST FINANCIAL CORPORATION
February 21, 1984 - November 1, 1985
JW GENESIS CLEARING CORP.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
