Individual Firm
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CYNTHIA SCHNACK LEE
CYNTHIA SC LEE, CYNTHIA SC SCHNACK, CYNTHIA SCHNACK
CRD#: 1977768
IA
B
MORGAN STANLEYCRD#: 149777 Honolulu, HI
View By:
3/12/2008
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 9/15/2021
B
New Mexico 9/14/2021
B
California 9/9/2021
B
New York 9/21/2023
B
Colorado 9/13/2021
B
North Carolina 9/15/2021
B
Florida 9/10/2021
B
Oregon 9/16/2021
B
Hawaii 9/10/2021
B
Texas 9/9/2021
IA
Hawaii 10/11/2021
IA
Texas 9/9/2021
B
Idaho 9/10/2021
B
Washington 9/14/2021
B
Massachusetts 12/3/2021
B
Wisconsin 9/15/2021
B
Nebraska 9/15/2021
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/16/2011 - 09/13/2021 | HONOLULU, HI | |
B | 02/15/2011 - 09/13/2021 | HONOLULU, HI | |
IA | 06/01/2009 - 02/28/2011 | HONOLULU, HI | |
B | 06/01/2009 - 02/28/2011 | HONOLULU, HI | |
IA | 02/15/2011 - 02/15/2011 | HONOLULU, HI | |
IA | 09/25/2001 - 06/01/2009 | HONOLULU, HI | |
B | 03/30/2001 - 06/01/2009 | HONOLULU, HI | |
B | 04/13/1999 - 03/27/2001 | OMAHA, NE | |
B | 03/05/1997 - 02/25/1998 | CHICO, CA | |
B | 01/30/1995 - 03/07/1995 | CAMARILLO, CA | |
B | 07/08/1992 - 01/26/1993 | OAKS, PA | |
B | 11/21/1989 - 07/31/1990 | NEW YORK, NY |
CHICO, CA
03/05/1997 - 02/25/1998
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.