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Cynthia Joan Ghaffari

Sharebuilder 401K

Seattle, WA

Seattle, WA

CRD 1794348

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Employer firm

Sharebuilder 401K CRD 300537

5,500 advisory clients

Reported services (Item 5G)

  • Pension consulting
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Sharebuilder 401K

801 Second Ave Suite 1400, Seattle, WA 98104 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2019-07-16
  • WA RA
    APPROVED
    Since 2019-07-16

Branch Locations

Seattle, WA • United States

801 Second Ave Suite 1400, Seattle, WA 98104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Seattle WA 04/2016 06/2018
Previous Registrations
Other Businesses

FRACTIONAL (1/6) OWNER OF A FARM IN MN WHICH GENERATES RENTAL INCOME.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-07-13
S63 Uniform Securities Agent State Law Examination 1988-10-06
  • S65 Uniform Investment Adviser Law Examination
    2016-07-13
  • S63 Uniform Securities Agent State Law Examination
    1988-10-06
Other Names
  • Cynthia Joan Walter
  • Cynthia J Ghaffari
  • Cynthia Ghaffari Walter
  • C Ghaffari
  • C Ghaffari Walter
  • Cynthia J Ghaffari

View on SEC IAPD

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