Cynthia D. Morrison
Professional summary
Cynthia Denise Morrison, who also goes by Cynthia Denise Elmore, Denise Elmore Morrison, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Birmingham, Alabama.
Cynthia is registered as a RR (Registered Representative) and started their career in finance in 1998. Cynthia has worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cynthia Denise Morrison's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2020 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1900 5th Ave N, Birmingham, AL 35203August 8, 2014 - December 17, 2018
REGIONS SECURITIES LLC
November 21, 2012 - June 25, 2013
ARBOR POINT ADVISORS
October 26, 2012 - June 25, 2013
SECURITIES AMERICA ADVISORS, INC.
August 15, 2012 - June 25, 2013
SECURITIES AMERICA, INC.
January 22, 2007 - August 17, 2012
MORGAN KEEGAN & COMPANY, LLC
January 22, 2007 - August 17, 2012
MORGAN KEEGAN & COMPANY, LLC
October 20, 2004 - February 8, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
May 26, 2004 - January 29, 2007
AMSOUTH INVESTMENT SERVICES, INC.
May 22, 2002 - May 21, 2004
NBC SECURITIES, INC.
September 27, 2000 - May 21, 2004
NBC SECURITIES, INC.
July 8, 1998 - September 28, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, 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
(10/15/2020)
(8/29/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340Birmingham, AL 35203TRUST BUT VERIFY
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