Cynthia K. Buck
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 Katherine Buck, who also goes by Cindy Buck, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1994. Cynthia had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 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
January 9, 2018 - January 3, 2020
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
November 6, 2013 - January 7, 2016
SIGNATOR FINANCIAL SERVICES, INC.
December 23, 2010 - February 10, 2016
SIGNATOR INVESTORS, INC.
July 28, 2010 - February 10, 2016
SIGNATOR INVESTORS, INC.
February 8, 2007 - September 19, 2008
U. S. BOSTON CAPITAL CORPORATION
January 3, 2003 - April 4, 2005
OPPENHEIMER & CO. INC.
May 9, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
September 18, 1998 - April 17, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 1994 - April 22, 1998
PERSHING 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
Current Firm
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107 / SEC#: , 8-44744
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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