Cynthia P. Thompson
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 Pearl Thompson, who also goes by Cynthia Chattin Thompson, Cynthia Pearl Chattin Thompson, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1987. Cynthia had worked at 5 firms and has passed the Series 63, Series 3 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
June 16, 1993 - June 10, 1998
D.E. FREY & COMPANY, INC.
May 19, 1992 - July 7, 1993
CIBC WORLD MARKETS CORP.
April 11, 1988 - June 1, 1992
LEHMAN BROTHERS INC.
August 3, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
February 20, 1987 - September 25, 1987
FIRST INTERSTATE BROKERAGE OF TEXAS, 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
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
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.
