Cynthia Kay Smith
Professional Summary
Cynthia Kay Smith, who also goes by Cindy Kay Koppit, Cindy K Smith, was a registered financial advisor. Cynthia was a previously registered financial professional and started their career in finance 1998 - 2007. Cynthia had worked at 3 firms and has passed the Series 63, Series 7, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cindy Kay Koppit, Cindy K Smith
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
27 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
AFSG SECURITIES CORPORATION | PROVIDIAN SECURITIES CORPORATION | CHC SECURITIES CORPORATION | CAPITAL HOLDING SECURITIES CORPORATION
Contact Information
Established
Pennsylvania since 03/12/1986Firm Type
CorporationFiscal Year End
DecemberDocuments
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
2Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1998About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jun 2007About the Series 26 examSimilar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
