Cynthia A. Harlow
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 Anne Harlow, who also goes by Cynthia Harlow, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1994. Cynthia had worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 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
July 11, 2023 - August 21, 2023
IMPERIAL CAPITAL, LLC
March 15, 2011 - February 23, 2017
IMPERIAL CAPITAL, LLC
April 19, 2010 - March 2, 2011
CF GLOBAL TRADING, LLC
March 3, 2004 - May 11, 2010
CITIGROUP GLOBAL MARKETS INC.
January 11, 2001 - July 18, 2002
LEHMAN BROTHERS INC.
November 5, 1997 - April 27, 2000
LEHMAN BROTHERS INC.
June 20, 1994 - June 9, 1997
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/10/2023
General Securities Representative ExaminationCurrent Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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