Cynthia J. Keefe
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 Jeanne Keefe, who also goes by Cynthia Jeanne Kaczorowski, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 2004. Cynthia had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2013 - August 7, 2018
INVEST SMART USA, INC.
November 18, 2010 - September 4, 2013
SYNERGY FINANCIAL GROUP OF ARIZONA, LLC
December 10, 2004 - August 14, 2009
IVES ASSET MANAGEMENT INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
INVEST SMART USA, INC.
CRD#: 168135 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 39,785,746 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 6/19/2013 |
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.
