Cynthia L. Sweeney
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 Lynn Sweeney, who also goes by Cynthia Lynn Burnett, Cynthia Lynn Stickle, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1985. Cynthia had worked at 7 firms and has passed the Series 66, Series 63 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
January 9, 2006 - April 21, 2014
SCOTTRADE, INC.
April 8, 2005 - May 25, 2005
IDS LIFE INSURANCE COMPANY
April 8, 2005 - May 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
January 31, 1991 - March 10, 1993
NATCITY INSURANCE SERVICES, INC.
February 5, 1990 - February 27, 1990
NATCITY INSURANCE SERVICES, INC.
August 13, 1987 - February 17, 1988
AMERIPRISE ADVISOR SERVICES, INC.
May 12, 1986 - August 12, 1987
NBD BROKERAGE SERVICES, INC.
July 3, 1985 - April 25, 1986
CITIGROUP GLOBAL MARKETS INC.
February 21, 1985 - June 5, 1985
AMERIPRISE ADVISOR SERVICES, 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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
