Cynthia Granger
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 Granger, who also goes by Cytnhia Granger, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1994. Cynthia had worked at 2 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2014 - October 27, 2015
CROWN CAPITAL SECURITIES, L.P.
February 27, 2013 - December 31, 2013
CROWN CAPITAL SECURITIES, L.P.
July 12, 2012 - September 10, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2011 - December 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 2010 - January 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2004 - July 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 1994 - July 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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