Cynthia L. Tower
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 Lee Tower was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1996. Cynthia had worked at 3 firms and has passed the Series 63 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
May 15, 1998 - August 7, 2012
SEATTLE-NORTHWEST SECURITIES CORPORATION
August 19, 1996 - April 8, 1998
WELLS FARGO SECURITIES INC.
May 24, 1996 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,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
Exams
Current Firm
SEATTLE-NORTHWEST SECURITIES CORPORATION
CRD#: 10639 / SEC#: , 8-27862
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEATTLE-NORTHWEST SECURITIES CORP. EMPLOYEE STOCK OWNERSHIP PLAN | ESOP/QUALIFIED PLAN | |
| ELGIN, ROBERT CARLTON JR | DIRECTOR/VP | 1780128 |
| OLEARY, DONALD JAY | DIRECTOR/VP | 1227798 |
| RECH, RONALD PETER | DIRECTOR/VP | 1557610 |
| DOHRN, GARY ALAN | DIRECTOR/VP | 1354246 |
| HERINGER, ERIC ADRIAN | DIRECTOR/VP | 2420672 |
| LABONITE, APRONIANO MANDIN JR. | CHIEF COMPLIANCE OFFICER | 4417380 |
| LEAVERTON, KARL VERNON | DIRECTOR | 1106831 |
| NEWHOUSE, MICHAEL SCOTT | CFO/TREASURER | 2472997 |
| SHELLEY, ROBERT EUGENE | DIRECTOR/VP | 1996829 |
| TAYLOR, DAVID BRUCE | CHAIRMAN OF THE BOARD/VP | 1801096 |
Disclosures
| Regulatory Event | 10 |
| Bond | 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.
