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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 2006-01-11
  • TX RA
    APPROVED
    Since 2006-01-11

Branch Locations

17225 El Camino Real, Houston, TX 77058 • United States

Friendswood, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 12/2005 Present
Bank Of America, N.A. Houston TX 06/2015 Present
Previous Registrations
  • 2004-10-05 → 2005-12-19
    Morgan Stanley Dw Inc.
    Webster, TX
    Houston, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-07-01
  • S66 Uniform Combined State Law Examination
    1999-07-01
Other Names
  • Cynthia Deann Penick
  • Cynthia Deann Kelley
  • Cynthia Deann Sowders
  • Cynthia Deann Sowders
  • Deann Kelley
  • Cynthia Deann Kelley

View on SEC IAPD

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