Cynthia L. Houlton
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 Lee Houlton, who also goes by Cindy Houlton, Cynthia Houlton, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1997. Cynthia had worked at 7 firms and has passed the Series 63, Series 87, Series 86 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
March 14, 2011 - January 25, 2012
KOTA GLOBAL SECURITIES INC.
July 15, 2009 - February 16, 2011
HFP CAPITAL MARKETS LLC
January 14, 2009 - February 26, 2009
TEJAS SECURITIES GROUP, INC.
February 29, 2008 - August 22, 2008
RBC CAPITAL MARKETS, LLC
February 6, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
July 30, 1999 - February 6, 2004
RBC CAPITAL MARKETS, LLC
February 17, 1999 - July 21, 1999
ROBERTSON STEPHENS, INC.
March 19, 1997 - February 17, 1999
UTENDAHL CAPITAL PARTNERS, L.P.
State Registrations and Notice Filings
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Exams
Current Firm
KOTA GLOBAL SECURITIES INC.
CRD#: 28137 / SEC#: , 8-43500
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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