Cynthia J. Metts
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 Jean Metts, who also goes by Cindy Engkraf, Cynthia Jean Engkraf, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1988. Cynthia had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2010 - October 6, 2021
FRANK FINANCIAL ADVISORS
October 4, 2010 - April 29, 2016
PURSHE KAPLAN STERLING INVESTMENTS
March 2, 2006 - October 11, 2010
LPL FINANCIAL LLC
July 8, 1997 - January 20, 2005
CHARLES SCHWAB & CO., INC.
October 17, 1996 - January 20, 2005
CHARLES SCHWAB & CO., INC.
July 15, 1996 - September 16, 1996
WELLS FARGO SECURITIES INC.
March 28, 1995 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
November 17, 1994 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
December 6, 1993 - July 26, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 22, 1992 - December 22, 1993
CAPITAL BROKERAGE CORPORATION
August 17, 1988 - September 8, 1992
MORGAN STANLEY DW INC.
July 20, 1988 - September 2, 1988
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
FRANK FINANCIAL ADVISORS
CRD#: 147537 / SEC#: 801-121668
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
Series 8
Date: 2/4/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FRANK FINANCIAL ADVISORS
CRD#: 147537 / SEC#: 801-121668
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 462 |
| AUM (Assets Under Management) | $ 164,442,897 |
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.
