Cynthia A. Wheeling
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 Ann Wheeling, who also goes by Cynthia Ann Sawyer, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1987. Cynthia had worked at 10 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2012 - November 7, 2013
SUMMIT BROKERAGE SERVICES, INC.
February 4, 2011 - March 27, 2012
THE INVESTMENT CENTER, INC.
December 2, 2008 - February 14, 2011
QUESTAR CAPITAL CORPORATION
March 2, 2001 - November 1, 2006
SECURITIES SERVICE NETWORK, LLC
December 10, 1999 - February 28, 2001
SECURITIES AMERICA, INC.
June 27, 1995 - December 3, 1999
T.H.E. FINANCIAL GROUP, LTD
September 13, 1991 - December 6, 1993
NORTH AMERICAN FINANCIAL GROUP, INC.
November 14, 1990 - September 20, 1991
DUNHILL EQUITIES, INC.
February 28, 1990 - January 2, 1991
PEB FINANCIAL GROUP, INC.
March 25, 1987 - October 17, 1989
CITISTREET EQUITIES LLC
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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
