Cynthia E. Morris
Professional summary
Cynthia Elise Morris, who also goes by Cynthia E Morris, Cynthia Elise Morris, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Pittsfield, Massachusetts.
Cynthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Cynthia has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 62, SIE, Series 31, Series 7, Series 27, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Cynthia Elise Morris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cynthia Elise Morris's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 75 S Church Street Suite 350, Pittsfield, MA 01201Office #2: One City Center Suite 701, Portland, ME 04101January 21, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 75 S Church Street Suite 350, Pittsfield, MA 01201Office #2: One City Center Suite 701, Portland, ME 04101November 25, 2013 - January 22, 2015
KITTERY POINT CAPITAL, LLC
November 20, 2007 - June 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 2007 - June 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2004 - November 1, 2007
RBC CAPITAL MARKETS, LLC
March 30, 2004 - November 1, 2007
RBC CAPITAL MARKETS, LLC
September 15, 2003 - April 2, 2004
CITIGROUP GLOBAL MARKETS INC.
February 5, 2003 - September 15, 2003
LEGG MASON WOOD WALKER, INCORPORATED
February 4, 2003 - September 15, 2003
LEGG MASON WOOD WALKER, INCORPORATED
August 26, 2002 - November 19, 2002
LEGG MASON WOOD WALKER, INCORPORATED
May 14, 1999 - November 19, 2002
LEGG MASON WOOD WALKER, INCORPORATED
April 15, 1998 - May 13, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/20/2022)
(7/8/2019)
(6/26/2017)
(7/2/2019)
(1/21/2015)
(2/6/2015)
(6/26/2017)
(6/26/2017)
(10/9/2017)
(7/13/2017)
(6/26/2017)
(6/23/2017)
(6/26/2017)
(7/14/2025)
(6/26/2017)
(1/31/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationFINRA
Nasdaq Stock Market
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
