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CB

Cindy S. Briggs

Some features on this profile are disabled
CRD#: 2237310
CB

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.

Cindy Susan Briggs, who also goes by Lucinda Susan Morgenstern, Cindy Susan Pfeil, was a registered financial professional .

Cindy is a previously registered financial professional and started their career in finance in 1995. Cindy had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lucinda Susan Morgenstern | Cindy Susan Pfeil

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 23, 2011 - November 4, 2014

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
TAMPA, FL
Past

November 19, 2009 - September 26, 2011

WELLINGTON SHIELDS & CO., LLC

BD
CRD#: 149021
SARASOTA, FL
Past

February 26, 2009 - December 11, 2009

SHIELDS & COMPANY

BD
CRD#: 11053
SARASOTA, FL
Past

January 22, 2008 - February 19, 2009

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
TAMPA, FL
Past

October 24, 2005 - October 31, 2007

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
TAMPA, FL
Past

April 4, 2005 - November 3, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

September 30, 2004 - April 1, 2005

R.W. SMITH & ASSOCIATES, LLC

BD
CRD#: 16605
JERSEY CITY, NJ
Past

October 7, 2002 - September 29, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

July 5, 2000 - October 14, 2002

SHIELDS & COMPANY

BD
CRD#: 11053
NEW YORK, NY
Past

January 28, 1998 - July 7, 2000

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

September 14, 1995 - February 3, 1998

HALLIBURTON & ASSOCIATES, INC.

BD
CRD#: 7396
CLEARWATER, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/14/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/4/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/22/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/15/1997
Municipal Securities Principal Examination

Current Firm

JC
J.W. COLE FINANCIAL, INC.
J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634
Phone number
(813) 935-6776
Established
Florida since 10/14/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JWC WEALTH PARTNERSOWNER
FUSSA OCASIO, FERNANDOCFO/FINOP2471569
LOFGREN, KURT WALKERCHIEF COMPLIANCE OFFICER3048472
PACK, TODD JAMESCHIEF OPERATING OFFICER2795590
WEST, EUGENEDESIGNATED MUNICIPAL PRINCIPAL/ROSFP2059974
WOOD, ROBERT JULIANTREASURER/SECRETARY/GP/CEO3217809

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

J.W. COLE FINANCIAL, INC.

CRD#: 124583

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