Cynthia D. Middleton
Professional summary
Cynthia Danielle Middleton, CIMA®, who also goes by Cynthia Danielle Balady, Cynthia D Bonanno, Cynthia Danielle Bonanno, Cindy Middleton, Cynthia Danielle Middleton, Cynthia Middleton, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Corpus Christi, Texas and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Cynthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Cynthia has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Cynthia Danielle Middleton's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2021 - Present
EMPOWER ADVISORY GROUP, LLC
October 13, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111August 2, 2019 - October 5, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 2019 - October 5, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 2017 - July 5, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 17, 2017 - July 5, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 6, 2016 - October 12, 2017
WELLS FARGO CLEARING SERVICES, LLC
April 6, 2016 - October 12, 2017
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2013 - February 18, 2016
BBVA SECURITIES INC.
November 4, 2011 - February 18, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
October 28, 2011 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 29, 2004 - October 10, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2004 - October 10, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
