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CYNTHIA D KELLEY
CYNTHIA DEANN KELLEY, CYNTHIA DEANN KELLEY, DEANN KELLEY, CYNTHIA DEANN PENICK, CYNTHIA DEANN SOWDERS…
CRD#: 3222258
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 17225 EL CAMINO REAL
HOUSTON, TX 77058
Registration History
19801985199019952000200520102015202020252 FIRMS2004 - 2005 (1 year)2 FIRMS2006 - Present (19 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2004 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2002 (2 years)
Disclosure(s)
View By:
5/3/1978
Criminal
Final Disposition
License(s)

State Registrations

B
Arkansas 9/15/2022

B
Missouri 9/11/2009

B
California 7/5/2018

B
North Carolina 9/14/2009

B
Colorado 3/22/2022

B
Tennessee 1/30/2024

B
Florida 1/3/2025

B
Texas 1/11/2006

B
Georgia 3/30/2018

IA
Texas 1/11/2006

B
Illinois 9/9/2009

B
Utah 8/25/2016

B
Louisiana 9/24/2009

B
Virginia 8/13/2024

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
17225 EL CAMINO REAL, HOUSTON, TX 77058
Registered with this firm since 1/11/2006

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
17225 EL CAMINO REAL, HOUSTON, TX 77058
Registered with this firm since 1/11/2006

Previous Registration(s)
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IA
10/05/2004 - 12/19/2005 MORGAN STANLEY (CRD#:7556) HOUSTON, TX
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10/05/2004 - 12/19/2005 MORGAN STANLEY DW INC. (CRD#:7556) HOUSTON, TX
B
12/05/2003 - 04/07/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
09/13/1999 - 07/30/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
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.