Cynthia Brooks
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 Brooks, who also goes by Cynthia Caufield, Cynthia Caulfield, Cynthia Diroff, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1993. Cynthia had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 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
December 3, 2024 - April 8, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2024 - April 8, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 2018 - August 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2017 - January 18, 2018
THE HUNTINGTON INVESTMENT COMPANY
May 23, 2016 - March 14, 2017
CITIZENS SECURITIES, INC.
December 6, 2012 - August 19, 2014
WESTPARK CAPITAL, INC.
July 3, 2008 - December 22, 2010
DEMOPOLIS CAPITAL INC.
July 28, 1999 - February 6, 2002
NORTHERN TRUST SECURITIES, INC.
June 8, 1999 - July 7, 1999
PROVIDENT DISTRIBUTORS, INC.
June 29, 1998 - May 4, 1999
FUNDS DISTRIBUTOR, LLC
August 22, 1994 - April 30, 1998
ALLSTATE FINANCIAL SERVICES, LLC
August 2, 1993 - May 27, 1998
HARRIS INVESTORS DIRECT, INC.
February 16, 1993 - July 21, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 7TO
Date: 12/2/2024
General Securities Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
