Cynthia K. Manthey
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 K Manthey, who also goes by Cindy Manthey, Cynthia Kay Manthey, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1998. Cynthia had worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, 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
November 5, 2014 - February 15, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 3, 2014 - February 15, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 24, 2008 - October 9, 2012
CETERA INVESTMENT SERVICES LLC
March 10, 2008 - October 9, 2012
CETERA INVESTMENT SERVICES LLC
November 20, 1998 - March 28, 2006
CETERA INVESTMENT SERVICES LLC
July 2, 1998 - March 28, 2006
CETERA INVESTMENT SERVICES LLC
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
Series 7TO
Date: 3/11/2024
General Securities Representative ExaminationCurrent Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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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