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CD

Cynthia L. Davey

Some features on this profile are disabled
CRD#: 1445602
CD

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 L Davey, who also goes by Cynthia Lynn Davey, Cindy Keyes, Cynthia Lynn Keyes, was a registered financial professional .

Cynthia is a previously registered financial professional and started their career in finance in 1986. Cynthia had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cynthia Lynn Davey | Cindy Keyes | Cynthia Lynn Keyes

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 3, 2013 - December 26, 2018

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

BD
CRD#: 135131
ENGLEWOOD, NJ
Past

September 23, 2011 - March 1, 2012

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
ST LOUIS, MO
Past

June 1, 2009 - January 28, 2010

MORGAN STANLEY

BD
CRD#: 149777
TROY, MI
Past

April 8, 2009 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
TROY, MI
Past

July 11, 2000 - September 5, 2000

ING FUNDS DISTRIBUTOR, INC.

BD
CRD#: 36461
WILMINGTON, DE
Past

March 30, 2000 - January 14, 2009

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

March 1, 1995 - December 14, 1999

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

April 26, 1990 - March 1, 1995

COLONIAL INVESTMENT SERVICES

BD
CRD#: 25929
Past

February 4, 1987 - May 4, 1990

G. R. PHELPS & CO., INC.

BD
CRD#: 173
Past

January 23, 1986 - December 18, 1986

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/21/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/15/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1986
General Securities Representative Examination

Current Firm

AA
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

CRD#: 135131 / SEC#: , 8-66889

BD
Terminated by SEC on 08/20/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/20/2004
Firm type
Limited Liability Company
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PARK, VICTOR WMANAGING MEMBER, CEO, CCO1928226
JENKINS, CYNTHIA MADELYNFINOP706510

Disclosures

Regulatory Event2

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.

Company Information

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

CRD#: 135131

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