Cynthia A. Eisenhower
Professional summary
Cynthia Ann Eisenhower was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cynthia is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Cynthia had worked at 4 firms, which includes JOHN HANCOCK DISTRIBUTORS LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., NYLIFE SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2009 - December 6, 2012
JOHN HANCOCK DISTRIBUTORS LLC
July 11, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 11, 2006 - September 19, 2007
MSI FINANCIAL SERVICES, INC.
January 11, 1996 - January 20, 2004
NYLIFE SECURITIES LLC
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
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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