Cynthia J. Keough
Professional summary
Cynthia J Keough, who also goes by Cynthia Joan Keough, is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York and CITY NATIONAL SECURITIES, INC. located in New York, New York.
Cynthia is registered as a RR (Registered Representative) and started their career in finance in 1994. Cynthia has worked at 28 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 53, Series 4, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cynthia J Keough's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 26, 2023 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022May 1, 2024 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022April 29, 2022 - March 17, 2023
MGI FUNDS DISTRIBUTORS, LLC
April 29, 2022 - March 17, 2023
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
February 24, 2021 - March 17, 2023
ORBIS INVESTMENTS (U.S.), LLC
January 14, 2021 - March 17, 2023
QUASAR DISTRIBUTORS, LLC
May 11, 2020 - December 31, 2022
PARNASSUS FUNDS DISTRIBUTOR, LLC
March 30, 2020 - December 31, 2022
FORESIDE DISTRIBUTION SERVICES, L.P.
March 30, 2020 - March 17, 2023
IMST DISTRIBUTORS, LLC
March 30, 2020 - March 17, 2023
FUNDS DISTRIBUTOR, LLC
March 30, 2020 - March 17, 2023
FORESIDE GLOBAL SERVICES, LLC
March 30, 2020 - March 17, 2023
FORESIDE FUNDS DISTRIBUTORS LLC
March 30, 2020 - March 17, 2023
FORESIDE FUND SERVICES, LLC
March 30, 2020 - March 17, 2023
FORESIDE FINANCIAL SERVICES, LLC
March 30, 2020 - March 17, 2023
COMPASS DISTRIBUTORS, LLC
January 19, 2016 - October 11, 2019
DWS DISTRIBUTORS, INC.
January 5, 2015 - January 19, 2016
DEUTSCHE BANK SECURITIES INC.
September 18, 2013 - January 13, 2014
LPL FINANCIAL LLC
September 18, 2013 - January 13, 2014
LPL FINANCIAL LLC
September 25, 2012 - September 18, 2013
FIRSTMERIT ADVISORS, INC.
September 25, 2012 - September 18, 2013
FIRSTMERIT FINANCIAL SERVICES, INC
January 9, 2009 - September 25, 2012
OSAIC FA, INC.
May 28, 2004 - January 2, 2009
NATCITY INVESTMENTS, INC.
September 18, 2003 - June 1, 2004
BANC ONE SECURITIES CORPORATION
August 14, 2002 - September 22, 2003
KEYBANC CAPITAL MARKETS INC.
April 2, 2001 - December 7, 2001
NEBS FINANCIAL SERVICES, INC.
June 4, 1998 - March 16, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 3, 1997 - August 12, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 16, 1996 - January 2, 1997
FIFTH THIRD SECURITIES, INC.
August 11, 1994 - January 19, 1996
CAL FED INVESTMENTS
Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/9/2023)
(8/12/2023)
Exams
FINRA
Current Firm
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL BANK | SOLE SHAREHOLDER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP & CHIEF FINANCIAL OFFICER | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| MAGUIRE, WILLIAM JOHN JR | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2040885 |
| O'KEEFFE, IVOR PATRICK | CHIEF OPERATING OFFICER & BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 1,781 |
| AUM (Assets Under Management) | $ 1,515,102,638 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
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