Cynthia A. Mason

SWS ADVISORS

Columbus, OH 43240

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CRD#: 6139873

Professional summary

Cynthia Ann Mason, who also goes by Cynthia Ann Smith, is a registered financial advisor currently at SWS ADVISORS, INC. located in Columbus, Ohio and OMNI FINANCIAL SECURITIES, INC. located in Columbus, Ohio.

Cynthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Cynthia has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cynthia Ann Smith

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.

MAINTAIN AND OWN REAL ESTATE PROPERTIES FOR THE PAST 17 YEARS. Cynthia Mason is a licensed insurance agent. From time to time, he will offer clients advice or products from those activities. Clients should be aware that these services pay a commission and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. SWS Advisors Inc. always acts in the best interest of the client; including the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of SWS Advisors Inc. in such individual's capacity as an insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Ann Mason's 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

May 14, 2013 - Present

SWS ADVISORS, INC.

Office #1: 1900 Polaris Parkway, Suite 450, Columbus, OH 43240

RIA

CRD#: 120054

Columbus, OH

Current

December 6, 2012 - Present

OMNI FINANCIAL SECURITIES, INC.

Office #1: 1900 Polaris Parkway, Suite 450, Columbus, OH 43240

CRD#: 29320

Columbus, OH

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Ohio
(12/6/2012)

IAR

Ohio
(5/14/2013)

IAR

Texas
(3/2/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/31/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/5/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SWS ADVISORS, INC.

MANEX ADVISORS, INC | SWS ADVISORS, INC.

CRD#: 120054 / SEC#:

Arizona

Registered Investment Advisory firm - (3/4/2016 Approved)

Florida

Registered Investment Advisory firm - (6/27/2019 Approved)

Illinois

Registered Investment Advisory firm - (5/5/2016 Approved)

Kentucky

Registered Investment Advisory firm - (12/31/2020 Terminated)

Maryland

Registered Investment Advisory firm - (12/21/2017 Terminated)

Ohio

Registered Investment Advisory firm - (3/5/2008 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/25/2016 Approved)

Texas

Registered Investment Advisory firm - (10/25/2014 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1900 Polaris Parkway, Suite 450, Columbus, OH 43240

Mailing Address

Phone number

(614) 438-5300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	580
AUM (Assets Under Management)	$ 50,618,150

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.

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Firm Stability Insights

Cynthia A. Mason

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Ann Mason's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWS ADVISORS, INC.

OMNI FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/31/2014

SIE

Date: 10/1/2018

Series 6

Date: 12/5/2012

FINRA

Current Firm

SWS ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SWS ADVISORS, INC.

TRUST BUT VERIFY

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