Sylvia W. Branch
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.
Sylvia Walker Branch, who also goes by Sylvia W Branch Mrs, Sylvia S Walker Miss, was a registered financial professional .
Sylvia is a previously registered financial professional and started their career in finance in 1979. Sylvia had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2004 - November 10, 2015
CRESCENT ADVISOR GROUP, INC.
August 6, 2004 - June 9, 2015
CRESCENT SECURITIES GROUP, INC.
March 29, 2004 - July 23, 2004
SUNAMERICA SECURITIES, INC.
May 9, 2002 - December 31, 2003
FINANCIAL EDUCATION ASSOCIATES, INC.
March 15, 1996 - July 23, 2004
SUNAMERICA SECURITIES, INC.
December 17, 1990 - January 1, 1991
ROTAN MOSLE INC.
December 17, 1990 - March 15, 1996
UBS FINANCIAL SERVICES INC.
January 2, 1979 - December 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CRESCENT ADVISOR GROUP, INC.
CRD#: 115974 / SEC#: 801-127131
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: 3/12/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CRESCENT ADVISOR GROUP, INC.
CRD#: 115974 / SEC#: 801-127131
Contact information
SEC notice filing (7 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 467 |
| AUM (Assets Under Management) | $ 282,987,504 |
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.
