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CA

Cynthia M. Aragon

BRENTVIEW INVESTMENT MANAGEMENT
Los Angeles, CA 90025
Some features on this profile are disabled
CRD#: 4316747
CA

Professional summary

Cynthia Marie Aragon, who also goes by Cynthia Aragon, Cynthia Marie Dowling, Cynthia Marie Rago, Cynthia Rago, is a registered financial advisor currently at BRENTVIEW INVESTMENT MANAGEMENT, LLC located in Los Angeles, California.

Cynthia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Cynthia has worked at 13 firms and has passed the Series 65, Series 66, SIE, Series 3, Series 7, Series 9, Series 10, Series 53, Series 27, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Cynthia Aragon | Cynthia Marie Dowling | Cynthia Marie Rago | Cynthia Rago

Other business activities

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.
[1] CYNTHIA ARAGON, ESQ.; NOT INVESTMENT RELATED; ADDRESS: 13311 Saratoga Drive, Tustin, CA 92782; NATURE: LEGAL; POSITION: SOLE PROPREITOR AND COMPLIANCE CONSULTANT; STARTED: 10-01-2018; APPROX. 80 HRS/MONTH; APPROX. 60 HRS/MONTH DURING TRADING HOURS; RESPONSIBILITIES: SOLE PROPRIETOR OF OWN LAW PRACTICE, PROVIDE COMPLIANCE CONSULTING FOR INVESTMENT COMPANIES, CORPORATE BUSINESSES AND GENERAL LEGAL ADVICE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Marie Aragon's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 27, 2019 - Present

BRENTVIEW INVESTMENT MANAGEMENT, LLC

Office #1: 11100 Santa Monica Boulevard, Los Angeles, CA 90025
RIA
CRD#: 300409
Los Angeles, CA
Past

December 16, 2021 - May 10, 2023

CAVU SECURITIES LLC

BD
CRD#: 6906
NEW YORK, NY
Past

September 29, 2020 - December 18, 2020

GLOBAL VIEW CAPITAL MANAGEMENT LLC

RIA
CRD#: 158292
LONG BEACH, CA
Past

September 21, 2017 - October 29, 2018

ALTEGRIS ADVISORS, LLC

RIA
CRD#: 154003
LA JOLLA, CA
Past

May 23, 2017 - October 29, 2018

ALPHAMAX DISTRIBUTORS, L.L.C.

BD
CRD#: 8258
LA JOLLA, CA
Past

October 7, 2013 - November 12, 2015

LICCAR SECURITIES, LLC

BD
CRD#: 151034
CHICAGO, IL
Past

June 16, 2011 - January 9, 2012

WESTPARK CAPITAL, INC.

RIA
CRD#: 39914
LOS ANGELES, CA
Past

June 15, 2011 - January 9, 2012

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
LOS ANGELES, CA
Past

December 17, 2008 - June 29, 2010

FAT SECURITIES, LLC

BD
CRD#: 147857
WEST HOLLYWOOD, CA
Past

March 27, 2006 - October 1, 2008

SEB SECURITIES, INC.

BD
CRD#: 23710
NEW YORK, NY
Past

January 21, 2005 - April 5, 2006

GE INVESTMENT DISTRIBUTORS, INC

BD
CRD#: 32087
STAMFORD, CT
Past

June 28, 2002 - August 10, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
MPLS, MN
Past

April 17, 2002 - August 10, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 21, 2001 - February 20, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 21, 2001 - August 10, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

January 1, 2001 - September 4, 2001

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BI
BRENTVIEW INVESTMENT MANAGEMENT, LLC
BRENTVIEW INVESTMENT MANAGEMENT, LLC

CRD#: 300409 / SEC#: 801-118493

RIA
Registered Investment Advisory firm - (4/21/2020 Approved)
California
Registered Investment Advisory firm - (9/23/2020 Terminated)
Illinois
Registered Investment Advisory firm - (4/21/2020 Terminated)
New York
Registered Investment Advisory firm - (8/24/2020 Terminated)
Tennessee
Registered Investment Advisory firm - (8/25/2020 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(8/27/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/2/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/29/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/14/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/28/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/8/2011
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/4/2008
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/30/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/2001
General Securities Principal Examination

Current Firm

BI
BRENTVIEW INVESTMENT MANAGEMENT, LLC
BRENTVIEW INVESTMENT MANAGEMENT, LLC

CRD#: 300409 / SEC#: 801-118493

RIA
Registered Investment Advisory firm - (4/21/2020 Approved)
California
Registered Investment Advisory firm - (9/23/2020 Terminated)
Illinois
Registered Investment Advisory firm - (4/21/2020 Terminated)
New York
Registered Investment Advisory firm - (8/24/2020 Terminated)
Tennessee
Registered Investment Advisory firm - (8/25/2020 Terminated)
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Contact information

Main Address
One Northfield Plaza Suite 522, Northfield, IL 60093
Mailing Address
Phone number
(312) 283-4450
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BRENTVIEW INVESTMENT MANAGEMENT ADV PART 2 BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts178
AUM (Assets Under Management)$ 185,911,369

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.

Company Information

BRENTVIEW INVESTMENT MANAGEMENT, LLC

CRD#: 300409Los Angeles, CA 90025

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