Cynthia A. Bassemier
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 Ann Bassemier, who also goes by Cynthia Canteberry, Cynthia Garriott, Cynthia Ann Monti, Cynthia Garriott Monti, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1998. Cynthia had worked at 6 firms and has passed the Series 66, SIE, 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
January 2, 2009 - July 2, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 20, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 10, 2006 - July 2, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 19, 2004 - February 1, 2006
TD AMERITRADE, INC.
August 6, 2004 - February 1, 2006
TD AMERITRADE, INC.
July 3, 2000 - August 12, 2004
SIGMA FINANCIAL CORPORATION
May 14, 1999 - July 5, 2000
KEYBANC CAPITAL MARKETS INC.
August 25, 1998 - May 14, 1999
KEY INVESTMENTS INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
