Cynthia J. Cash
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 Jill Cash, who also goes by Cindy Cash, Cynthia Cash, Cindy Evans, Cynthia J Evans, Cynthia Jill Evans, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 2001. Cynthia had worked at 5 firms and has passed the Series 63, SIE, Series 25, Series 55, Series 3 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
May 14, 2014 - January 11, 2017
CREDIT AGRICOLE SECURITIES (USA) INC.
February 9, 2012 - April 29, 2014
CRT CAPITAL GROUP LLC
July 2, 2008 - February 10, 2012
NATWEST MARKETS SECURITIES INC.
November 26, 2002 - June 12, 2008
J.P. MORGAN SECURITIES LLC
October 10, 2001 - December 13, 2002
CREDIT SUISSE SECURITIES (USA) 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
Series 25
Date: 12/4/2003
NYSE Trading Assistant ExaminationSeries 55
Date: 12/10/2001
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT AGRICOLE SECURITIES (USA) INC.
CRD#: 190 / SEC#: , 8-13753
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI") | SHAREHOLDER | |
| ARNAL, CELINE | DIRECTOR | 7247072 |
| GEROLD, MARIA TERESA | CFO | 5967881 |
| HETIER, FRANCOIS-EDOUARD MARIE MARC | DIRECTOR | 7817148 |
| KURZ, WILLIAM FRANK | MEMBER OF THE BOARD OF DIRECTORS AND COO | 7602164 |
| PUBLIE, STEPHANE | INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS | 5978052 |
| YOUN, EDWARD KYUNG-HO | CHIEF COMPLIANCE OFFICER | 6723958 |
| ZAFAR, KASHIF | MANAGING DIRECTOR | 2666642 |
Disclosures
| Regulatory Event | 18 |
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.
