Cynthia D. Cowden
Professional summary
Cynthia Diane Cowden was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cynthia is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Cynthia had worked at 7 firms, which includes NPB FINANCIAL GROUP LLC, TRICOR FINANCIAL LLC, NEXT FINANCIAL GROUP INC., PAGEONE FINANCIAL INC., ADVANTAGE CAPITAL CORPORATION, CONCOURSE FINANCIAL GROUP SECURITIES INC., NYLIFE SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2013 - August 31, 2020
NPB FINANCIAL GROUP, LLC
September 20, 2012 - January 2, 2013
TRICOR FINANCIAL, LLC
October 2, 2003 - September 22, 2012
NEXT FINANCIAL GROUP, INC.
October 10, 2002 - October 6, 2003
PAGEONE FINANCIAL, INC.
August 31, 1999 - September 22, 2012
NEXT FINANCIAL GROUP, INC.
April 8, 1992 - August 27, 1999
ADVANTAGE CAPITAL CORPORATION
May 28, 1991 - April 14, 1992
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 8, 1990 - May 8, 1991
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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