Cynthia K. Smith
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 Kay Smith, who also goes by Cindy Kay Koppit, Cindy K Smith, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1998. Cynthia had worked at 3 firms and has passed the Series 63, Series 7, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2007 - June 4, 2007
AFSG SECURITIES CORPORATION
April 24, 2007 - August 5, 2020
TRANSAMERICA CAPITAL, LLC
December 16, 1998 - April 13, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
AFSG SECURITIES CORPORATION
CRD#: 18374 / SEC#: , 8-36562
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH GENERAL CORPORATION | SOLE SHAREHOLDER | |
| CAMP, FRANK A | SECRETARY | 2766422 |
| ECKMAN, PHILIP SHERMAN | DIRECTOR | 2789285 |
| GILMER, LINDA SUSAN | CONTROLLER AND TREASURER AND FINANCIAL & OPERATIONS PRINCIPAL | 1925124 |
| MASSROCK, MICHAEL CHARLES | VICE PRESIDENT | 4454190 |
| NELSON, PAULA GENEVIEVE | DIRECTOR | 2015528 |
| NORMAN, LARRY NEIL | PRESIDENT AND DIRECTOR | 719080 |
| STERLACCI, CAROL A | ASSISTANT CONTROLLER AND TREASURER | |
| WACHENDORF, LISA ANN | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 1734198 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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