Cynthia N. Crawford
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 Narhan Crawford, who also goes by Cynthia N Kerkorian, Cynthia Narhan Kerkorian, Cynthia Hope Kerrkorian, Cynthia Hope Nabhan, Cynthia Nabhan, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1973. Cynthia had worked at 12 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - December 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - December 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 24, 2004 - October 20, 2004
QUICK & REILLY, INC.
February 9, 2004 - October 20, 2004
QUICK & REILLY, INC.
January 4, 1999 - February 9, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 1, 1992 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
January 19, 1990 - April 2, 1992
NATHAN & LEWIS SECURITIES, INC.
May 14, 1988 - January 24, 1990
LEHMAN BROTHERS INC.
April 4, 1985 - May 14, 1988
E. F. HUTTON & COMPANY INC
January 31, 1980 - January 31, 1985
UBS FINANCIAL SERVICES INC.
August 12, 1975 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 14, 1973 - August 10, 1975
A. G. EDWARDS & SONS, INC.
February 20, 1973 - May 27, 1973
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
PC
Date: 3/12/1985
AMEX Put and Call ExamSeries 1
Date: 2/13/1973
Registered Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
