Cynthia A. D'meo

PURSHE KAPLAN STERLING INVESTMENTS

Red Bank, NJ 07710

Some features on this profile are disabled

CRD#: 1275083

Professional summary

Cynthia Anne D'meo, who also goes by Cynthia A Conte, Cynthia Ann Conte, Cynthia A D Meo, Cynthia Ann Di Meo, Cynthia Ann Dmeo, Cynthia Anne Luzzo, Cynthia Anne Ruskuski, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Red Bank, New Jersey.

Cynthia is registered as a RR (Registered Representative) and started their career in finance in 1984. Cynthia has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cynthia Anne D'meo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 25, 2018 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 1 Harding Road Suite 100, Red Bank, NJ 07710

CRD#: 35747

Red Bank, NJ

Past

June 15, 2010 - October 30, 2018

SUMMIT EQUITIES, INC.

CRD#: 11039

RED BANK, NJ

Past

January 1, 2008 - October 24, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RED BANK, NJ

Past

January 1, 2008 - October 24, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RED BANK, NJ

Past

August 19, 2005 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

RED BANK, NJ

Past

December 8, 2004 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

RED BANK, NJ

Past

March 22, 1999 - December 16, 2004

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

October 27, 1986 - December 31, 1998

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

June 26, 1984 - April 24, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(9/25/2018)

Exams

State Security Law Exam

Series 63

Date: 7/11/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 7/12/2007

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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.

Similar Advisors

Glenn Blachman

SUMMIT FINANCIAL, LLC

IAR

TOMS RIVER, NJ

Fernando Rivera

WELLS FARGO CLEARING SERVICES, LLC

IAR

East Brunswick, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Cynthia A. D'meo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cynthia Anne D'meo's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT EQUITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/11/1984

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 9

Date: 7/12/2007

FINRA

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

Similar Advisors