Cynthia J. Ghaffari

SHAREBUILDER 401K

Seattle, WA

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CRD#: 1794348

Professional summary

Cynthia Joan Ghaffari, who also goes by C Ghaffari, Cynthia J Ghaffari, C Ghaffari Walter, Cynthia Ghaffari Walter, Cynthia Joan Walter, is a registered financial advisor currently at SHAREBUILDER 401K located in Seattle, Washington.

Cynthia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Cynthia has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7, Series 52, Series 10, Series 9, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

C Ghaffari | Cynthia J Ghaffari | C Ghaffari Walter | Cynthia Ghaffari Walter | Cynthia Joan Walter

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.

FRACTIONAL (1/6) OWNER OF A FARM IN MN WHICH GENERATES RENTAL INCOME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Joan Ghaffari's CRS (Customer Relationship Summary).

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

July 16, 2019 - Present

SHAREBUILDER 401K

RIA

CRD#: 300537

Seattle, WA

Past

July 13, 2016 - July 2, 2018

MORGAN STANLEY

RIA

CRD#: 149777

SEATTLE, WA

Past

December 9, 2014 - July 2, 2018

MORGAN STANLEY

CRD#: 149777

SEATTLE, WA

Past

June 1, 2009 - May 5, 2014

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PURCHASE, NY

Past

June 28, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 12, 1999 - November 15, 1999

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

October 28, 1998 - April 12, 1999

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

June 16, 1993 - April 27, 1999

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

November 29, 1988 - May 20, 1993

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 22, 1988 - November 17, 1988

EQIS SECURITIES, LLC

CRD#: 20633

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHAREBUILDER 401K

SHAREBUILDER 401K | SHAREBUILDER ADVISORS, LLC

CRD#: 300537 / SEC#: 801-115195

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(7/16/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/13/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/6/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/2/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 6/11/2012

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/19/1988

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 1/23/1984

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/20/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/12/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 5/25/1988

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 2/10/1988

Municipal Securities Principal Examination

Current Firm

SHAREBUILDER 401K

SHAREBUILDER 401K | SHAREBUILDER ADVISORS, LLC

CRD#: 300537 / SEC#: 801-115195

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

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Contact information

Main Address

801 Second Ave Suite 1400, Seattle, WA 98104

Mailing Address

801 Second Ave Suite 1400, Seattle, WA 98104

Phone number

(425) 213-9035

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SBA ADVII 2025 (6/3/2025)

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 J. Ghaffari

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Joan Ghaffari's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

BA INVESTMENT SERVICES, INC.

CHARLES SCHWAB & CO., INC.

EQIS SECURITIES, LLC

Primary Firm SEC Registration

SHAREBUILDER 401K

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/2016

Series 63

Date: 10/6/1988

SIE

Date: 7/2/2018

Series 3

Date: 6/2/2016

Series 55

Date: 6/11/2012

Series 7

Date: 3/19/1988

Series 52

Date: 1/23/1984

Series 10

Date: 12/20/2001

Series 9

Date: 9/12/2001

Series 24

Date: 5/25/1988

Series 53

Date: 2/10/1988

Current Firm

SHAREBUILDER 401K

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SHAREBUILDER 401K

TRUST BUT VERIFY

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