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Detailed Report
CYNTHIA KOMAREK
CYNTHIA ANN BROWN, CYNTHIA BROWN-KOMAREK, CYNTHIA BROWN KOMAREK, CYNTHIA BROWN PEARSON
CRD#: 1188714
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
19982000200220042006200820102012201420162018202020222024IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2017 - 2020 (2 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - 2017 (9 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2008 (10 years)
Disclosure(s)
View By:
6/23/2023
Customer Dispute
Settled
6/4/2021
Regulatory
Final
8/31/2020
Customer Dispute
Settled
8/19/2020
Employment Separation After Allegations
8/13/2020
Customer Dispute
Settled
2/8/1999
Customer Dispute
Denied
Previous Registration(s)
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 11/20/2017 - 08/19/2020 SAGEPOINT FINANCIAL, INC. (CRD#:133763) BARRINGTON, IL
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 11/14/2008 - 11/28/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WOODSTOCK, IL
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 04/12/1998 - 11/19/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CRYSTAL LAKE, IL
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.