Cynthia Ghaffari is a registered investment advisor at Sharebuilder 401k, based in Seattle, WA, with 36 years of industry experience. Cynthia operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Retirement Planning. Their firm serves 5,500 clients.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
ShareBuilder Advisors' fees cover investment services and trading costs. The fees may also cover some or all of the recordkeeping services provided by a third-party administrator. Plans become more expensive as they add participants and less expensive as they increase in assets. For plans with many participants but a small asset base, a per-participant fee ranging from $0 to $4.50 per month may be assessed directly to plan participants. Solo 401(k) Saver program advisory fees are based on the average daily value of the assets held in the plan.
Location
Seattle, WA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Cynthia is a fractional owner of a farm in Minnesota that generates rental income. This activity is not investment-related.
Employment History
Current Registrations
Sharebuilder 401k
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Morgan StanleyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley Dw INC.Broker
Banc of America Investment Services, INC.Broker
Nationsbanc Montgomery Securities LLCBroker
Ba Investment Services, INC.Broker
Charles Schwab & CO., INC.Broker
Progressive Asset Management, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.