Cecilia A. Ryan
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.
Cecilia Ann Ryan, who also goes by Cecilia Ann Belfore, Cecilia Ryan, was a registered financial professional .
Cecilia is a previously registered financial professional and started their career in finance in 1990. Cecilia had worked at 5 firms and has passed the Series 63, Series 99, Series 6 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2013 - February 18, 2014
PURSHE KAPLAN STERLING INVESTMENTS
May 31, 2013 - February 19, 2014
BEACON POINTE WEALTH ADVISORS, LLC
December 21, 1999 - November 27, 2001
PARK AVENUE SECURITIES LLC
March 14, 1997 - December 21, 1999
ROBERT W. BAIRD & CO. INCORPORATED
October 1, 1990 - December 21, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 12
Date: 6/30/1997
NYSE Branch Manager ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
