Cynthia R. Jones
Professional summary
Cynthia Rice Jones was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cynthia is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Cynthia had worked at 3 firms, which includes FIDELITY PERSONAL AND WORKPLACE ADVISORS, STRATEGIC ADVISERS LLC, FIDELITY BROKERAGE SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - January 29, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 10, 2001 - July 13, 2018
STRATEGIC ADVISERS LLC
March 20, 1980 - January 29, 2019
FIDELITY BROKERAGE SERVICES LLC
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
Series 8
Date: 8/8/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
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