Cynthia K. Brown

REGIONS SECURITIES LLC

Birmingham, AL 35203

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CRD#: 1286371

Professional summary

Cynthia Keenum Brown, who also goes by Cindy Brown, is a registered financial professional currently at REGIONS SECURITIES LLC located in Birmingham, Alabama.

Cynthia is registered as a RR (Registered Representative) and started their career in finance in 1984. Cynthia has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cindy Brown

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 Keenum Brown's 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

June 2, 2016 - Present

REGIONS SECURITIES LLC

Office #1: 1900 5th Avenue North, Birmingham, AL 35203

CRD#: 159475

Birmingham, AL

Past

September 12, 2011 - February 21, 2012

CUSO PARTNERS, LLC

CRD#: 2406

BIRMINGHAM, AL

Past

September 2, 2010 - March 7, 2016

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

June 18, 1998 - July 26, 2010

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

July 1, 1988 - July 25, 1996

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

August 20, 1986 - March 15, 1988

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

Past

September 20, 1984 - May 28, 1985

STERNE, AGEE & LEACH, INC.

CRD#: 791

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

Alabama
(6/2/2016)

Georgia
(6/3/2016)

North Carolina
(8/8/2022)

Exams

State Security Law Exam

Series 63

Date: 11/8/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/19/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REGIONS SECURITIES LLC

REGIONS SECURITIES | REGIONS SECURITIES LLC

CRD#: 159475 / SEC#: , 8-68990

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

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Contact information

Main Address

1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309

Mailing Address

1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309

Phone number

(404) 279-7400

Established

Delaware since 10/12/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RFC FINANCIAL SERVICES HOLDING LLC	PARENT
AMIN, RITVIG NIPENDRA	CHAIRMAN OF THE BOARD & DIRECTOR	2901218
GIARDINO, NEIL	CEO, PRESIDENT AND DIRECTOR	2428962
HOLLOWAY, GLENN CHRISTOPHER	FINOP, CFO, PFO, POO & DIRECTOR	4566759
MAGGIORE, JILL WRIGHT	CHIEF COMPLIANCE OFFICER & DIRECTOR	1001068
MAXWELL, JASON MATTHEW	CHIEF LEGAL OFFICER & DIRECTOR	5997125

Disclosures

Regulatory Event

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.

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Cynthia K. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cynthia Keenum Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

CUSO PARTNERS, LLC

STERNE, AGEE & LEACH, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

AMERIPRISE ADVISOR SERVICES, INC.

STERNE, AGEE & LEACH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/8/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/15/1984

Series 24

Date: 3/19/1999

FINRA

Current Firm

REGIONS SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REGIONS SECURITIES LLC

TRUST BUT VERIFY

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