Cynthia Jeffries, Vice President, Compliance

Cynthia Jeffries is a Vice President of Compliance at Commonwealth. With the firm since 2007, she currently manages Commonwealth’s supervisory testing programs required as a broker/dealer, investment adviser, and municipal securities dealer and as a member of the National Futures Association. Cynthia holds FINRA Series 4, 7, 24, 27, 31, 53, and 66 securities registrations, as well as the Certified Fraud Examiner designation.

Information about securities-registered professionals may be found at FINRA BROKERCHECK.

What It Means to Be a Fiduciary—and Why It Matters
Savvy investors are vetting and choosing advisors based on a fiduciary standard of conduct, but determining what it means to be a fiduciary isn’t as clear-cut as you might expect.
Cynthia Jeffries
02.10.21

What It Means to Be a Fiduciary—and Why It Matters