Cynthia J. Kessler
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 J Kessler, who also goes by Cynthia Jo Kessler, Cynthia Jo Monzolino, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1998. Cynthia had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2015 - February 6, 2017
PEOPLE'S SECURITIES, INC.
July 29, 2014 - December 15, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 27, 2007 - August 2, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
January 1, 2005 - September 28, 2006
HSBC SECURITIES (USA) INC.
September 18, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 7, 2000 - August 14, 2003
CITICORP INVESTMENT SERVICES
July 7, 1998 - April 4, 2000
FISERV INVESTOR SERVICES, 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
Current Firm
PEOPLE'S SECURITIES, INC.
CRD#: 13704 / SEC#: 801-63122, 8-29667
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANUFACTURERS & TRADERS TRUST COMPANY | PARENT | |
| HUNTER, JEFFREY FRANK | PRESIDENT,PRINCIPAL OPERATIONS OFFICER,DIRECTOR | 1851035 |
| KING, MARIE | CORPORATE SECRETARY | 2970483 |
| MCAFEE, MATTHEW JAMES | CHAIRMAN OF THE BOARD AND DIRECTOR | 5456594 |
| MEDREK, EMILY SUI-LING | PRINCIPAL FINANCIAL OFFICER | 3185486 |
| MURPHY, PATRICK JOHN | DIRECTOR | 7563196 |
| RUMANS, TERRI FOGARTY | CHIEF COMPLIANCE OFFICER | 2574833 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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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