Cynthia A. Simpson
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 Anne Simpson, who also goes by Cindy Metcalfe, Cynthia Anne Metcalfe, Cindy Moyer, Cynthia Anne Moyer, Cindy Simpson, Cynthia A Simpson, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 2016. Cynthia had worked at 2 firms and has passed the Series 66, SIE 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
April 1, 2019 - June 4, 2025
WESBANCO SECURITIES, INC.
March 26, 2019 - June 4, 2025
WESBANCO SECURITIES, INC.
October 27, 2016 - March 5, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 2016 - March 5, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
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
Current Firm
WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
Contact information
SEC notice filing (25 States and Territories)
FINRA licenses (28 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESBANCO INC. | OWNER | |
| CONNER, JAMES LEROY | FINOP | 5339285 |
| GARDILL, JAMES C | COUNSEL | |
| JACKSON, JEFF | DIRECTOR | 7692472 |
| LOVE, SCOTT ALAN | DIRECTOR | 2854247 |
| LUZAR, JAY MICHAEL | DIRECTOR | |
| PERKINS, MICHAEL L | DIRECTOR | 7531438 |
| STAVSKY, LISA FINKELSTEIN | DIRECTOR - MANAGING DIRECTOR/PRESIDENT/CEO | 1749197 |
| WILSON, ROSE LYNN | CCO, MANAGING DIRECTOR OF COMPLIANCE & DIRECTOR | 4072715 |
| ZATTA, JAY | DIRECTOR | 7693273 |
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 166,458,070 |
Disclosures
| Regulatory Event | 1 |
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.
