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Cynthia Berenize Galvan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-03-11
NC RA APPROVED 2021-03-10
  • TX RA
    APPROVED
    Since 2021-03-11
  • NC RA
    APPROVED
    Since 2021-03-10

Branch Locations

13510 Ballantyne Corporate Pl, Charlotte, NC 28277 • 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
Fidelity Investments Charlotte NC 11/2015 07/2020
Fidelity Personal And Workplace Advisors Boston MA 07/2018 07/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 03/2021 Present
Unemployed Charlotte NC 08/2020 02/2021
  • 11/2015 → 07/2020
    Fidelity Investments
    Charlotte, NC
  • 07/2018 → 07/2020
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 03/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Charlotte, NC
  • 08/2020 → 02/2021
    Unemployed
    Charlotte, NC
Previous Registrations
  • 2018-07-13 → 2020-07-07
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2016-01-12 → 2018-07-13
    Strategic Advisers Llc
    Charlotte, NC
  • 2012-08-16 → 2015-11-12
    Truist Investment Services, Inc.
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-08-15
S63 Uniform Securities Agent State Law Examination 2005-11-16
  • S65 Uniform Investment Adviser Law Examination
    2012-08-15
  • S63 Uniform Securities Agent State Law Examination
    2005-11-16
Other Names
  • Cynthia Galvan
  • Cynthia B. Galvan
  • Cynthia B. Galvan

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
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