Cynthia L. Hayes
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 Lynn Hayes, who also goes by Cynthia Lynn Broom, Cynthia Lynn Mcandrew, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1976. Cynthia had worked at 6 firms and has passed the Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2011 - June 6, 2014
ASPEN RIVER SECURITIES, LLC
October 7, 2005 - July 7, 2008
GPC SECURITIES, INC.
April 5, 2004 - July 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2004 - July 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 1982 - October 3, 1983
CHAUNER SECURITIES, INC.
September 26, 1978 - November 12, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 1977 - February 23, 1978
E. F. HUTTON & COMPANY INC
April 14, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ASPEN RIVER SECURITIES, LLC
CRD#: 153947 / SEC#: , 8-68595
Contact information
Documents
Red Flags
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