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CF

Cynthia L. Fogleman

M. S. HOWELLS & CO.
Reno, NV 89511
Some features on this profile are disabled
CRD#: 2338057
CF

Professional summary

Cynthia Lynn Fogleman, who also goes by Cynthia Lynn Casci, Cynthia Lynn Johnson, Cynthia Lynn O'doan, is a registered financial professional currently at M. S. HOWELLS & CO. located in Reno, Nevada.

Cynthia is registered as a RR (Registered Representative) and started their career in finance in 2008. Cynthia has worked at 4 firms and has passed the Series 63 and Series 11 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cynthia Lynn Casci | Cynthia Lynn Johnson | Cynthia Lynn O'doan

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) - BD

Click below to view Cynthia Lynn Fogleman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 27, 2016 - Present

M. S. HOWELLS & CO.

Office #1: 570 Hammill Lane, Reno, NV 89511
BD
CRD#: 104100
Reno, NV
Past

March 1, 2011 - August 23, 2016

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
RENO, NV
Past

September 8, 2009 - March 9, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
RENO, NV
Past

November 26, 2008 - September 8, 2009

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
RENO, NV

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Nevada
(9/16/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 5/17/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 11
Date: 11/24/2008
Assistant Representative-Order Processing Qualification Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MS
M. S. HOWELLS & CO.
M. S. HOWELLS & CO.

CRD#: 104100 / SEC#: , 8-52558

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

Main Address
23350 N. Pima Rd., Scottsdale, AZ 85255
Mailing Address
23350 N. Pima Rd., Scottsdale, AZ 85255
Phone number
(480) 563-2000
Established
Delaware since 04/11/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# 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#
MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEEOWNER
SANTAMARIA, KATRINA PATRICIACHIEF EXECUTIVE OFFICER3248779
CRITES, MARCY ANNFINANCIAL AND OPERATIONS PRINCIPAL (FINOP)6346298
HOWELLS, MARK STEPHENTRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997726921
HOWELLS, MARK STEPHENEXECUTIVE CHAIRMAN/DIRECTOR726921
JORDAN, CHRISTOPHER SHANECHIEF COMPLIANCE OFFICER2843281
KREIZENBECK, TARA LYNNCHIEF OPERATING OFFICER7141895

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

M. S. HOWELLS & CO.

CRD#: 104100Reno, NV 89511

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