Cinthia F. Marshall
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.
Cinthia Faye Marshall, who also goes by Cindy Faye Collins, Cinthia Faye Collins, Cindy Faye Marshall, Cinthia Marshall, was a registered financial professional .
Cinthia is a previously registered financial professional and started their career in finance in 1998. Cinthia had worked at 9 firms and has passed the Series 66, Series 63, SIE 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
July 1, 2009 - December 23, 2025
PLANMEMBER SECURITIES CORPORATION
July 1, 2009 - December 23, 2025
PLANMEMBER SECURITIES CORPORATION
January 2, 2009 - July 1, 2009
CHICAGO INVESTMENT GROUP, LLC
December 17, 2004 - January 5, 2009
LEGEND ADVISORY, LLC
December 7, 2004 - January 5, 2009
LEGEND EQUITIES CORPORATION
April 2, 2002 - December 16, 2004
NEXT FINANCIAL GROUP, INC.
December 7, 2000 - November 28, 2001
CUSO FINANCIAL SERVICES, L.P.
October 22, 1999 - January 24, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
October 22, 1999 - January 24, 2001
VALIC FINANCIAL ADVISORS, INC.
August 21, 1998 - April 16, 1999
EDWARD JONES
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
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.
