Cynthia R. Cox
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 Renee Cox, who also goes by Cynthia Renee Fisher, Cynthia Renee Kellett, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1993. Cynthia had worked at 4 firms and has passed the Series 63, SIE 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
November 8, 2005 - May 28, 2009
LANDOLT SECURITIES, INC.
November 8, 2005 - December 31, 2019
LANDOLT SECURITIES, INC.
April 27, 2004 - November 7, 2005
OBERWEIS SECURITIES, INC.
January 9, 2002 - August 1, 2002
NEW ENGLAND SECURITIES
December 20, 1999 - December 31, 1999
LASALLE ST SECURITIES, L.L.C.
January 29, 1993 - December 31, 1997
LASALLE ST SECURITIES, L.L.C.
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
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: , 8-43645
Contact information
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 105,626,273 |
Disclosures
| Regulatory Event | 4 |
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.
