Cynthia A. Hunt- Rauner
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 A Hunt- Rauner, who also goes by Cynthia Andriette Hunt- Rauner, Cynthia Andriette Sanzone, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1995. Cynthia had worked at 12 firms and has passed the Series 63, Series 7TO, SIE, Series 6 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 7, 2021 - January 3, 2025
NYLIFE SECURITIES LLC
November 8, 2007 - November 9, 2009
CITIGROUP GLOBAL MARKETS INC.
September 6, 2007 - October 9, 2007
NYLIFE SECURITIES LLC
October 31, 2003 - June 30, 2004
AMERITAS INVESTMENT COMPANY, LLC
May 28, 2003 - October 31, 2003
THE ADVISORS GROUP, INC.
March 15, 2002 - May 19, 2003
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 1, 2000 - September 26, 2001
WELLS FARGO CLEARING SERVICES, LLC
May 22, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
November 4, 1998 - April 26, 2000
ALLFIRST BROKERAGE CORPORATION
May 13, 1998 - October 12, 1998
CAPITAL BROKERAGE CORPORATION
October 29, 1996 - December 31, 1997
EQUITY SERVICES, INC.
June 27, 1995 - May 14, 1996
BILTMORE SECURITIES, INC.
May 31, 1995 - June 28, 1995
STRATTON OAKMONT INC.
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
Series 7TO
Date: 6/7/2021
General Securities Representative ExaminationCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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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