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RIA / WealthAdvisor29 years in industry

Cynthia J Morris

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MILL VALLEY, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:00c3efe6-9ff6-21ad-7dc5-6a4a8b7c54cd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Jul 8, 1997 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 8, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 23, 2010
First registration: Jul 8, 1997
Dual registered: no
Other names: CYNTHIA JEAN MORRIS
IAPD individual key: 1143459

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 4, 2026	n/a	yes	MILL VALLEY, CA\|NEW YORK, NY	Current employment
LITMAN GREGORY WEALTH MANAGEMENT, LLC	Former SEC adviser	Dec 17, 2021	Oct 3, 2025	no	PARIS\|Larkspur, CA	Previous registration
SENSIBA SAN FILIPPO FINANCIAL ADVISERS LLC	Former SEC adviser	Jan 21, 2019	Jan 6, 2022	no	SAN MATEO, CA\|SAN MATEO, CA	Previous registration
RAND & ASSOCIATES	Former SEC adviser	Jun 18, 2015	Aug 14, 2018	no	BALTIMORE, MD	Previous registration
WESTHILL FINANCIAL ADVISORS, INC.	Independent wealth	Jan 2, 2013	Dec 3, 2013	no	SAN RAFAEL, CA	Previous registration
RBC SECURITIES, INC.	Bd affiliated wealth	Aug 26, 2010	Mar 15, 2012	no	SAN JOSE, CA\|LOS ANGELES, CA\|SAN FRANCISCO, CA	Previous registration
MARIN FINANCIAL ADVISORS LLC	Former SEC adviser	Dec 25, 2008	Jan 22, 2009	no	LARKSPUR, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 8, 1997	Jun 7, 2002	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LITMAN GREGORY WEALTH MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 3, 2025	Aug 4, 2026	305	Firm change	RIA to wirehouse
SENSIBA SAN FILIPPO FINANCIAL ADVISERS LLC	LITMAN GREGORY WEALTH MANAGEMENT, LLC	Jan 6, 2022	Dec 17, 2021	-20	Firm change	Other
RAND & ASSOCIATES	SENSIBA SAN FILIPPO FINANCIAL ADVISERS LLC	Aug 14, 2018	Jan 21, 2019	160	Firm change	Other
WESTHILL FINANCIAL ADVISORS, INC.	RAND & ASSOCIATES	Dec 3, 2013	Jun 18, 2015	562	Firm change after gap	Other
RBC SECURITIES, INC.	WESTHILL FINANCIAL ADVISORS, INC.	Mar 15, 2012	Jan 2, 2013	293	Firm change	Other
MARIN FINANCIAL ADVISORS LLC	RBC SECURITIES, INC.	Jan 22, 2009	Aug 26, 2010	581	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MARIN FINANCIAL ADVISORS LLC	Jun 7, 2002	Dec 25, 2008	2,393	Firm change after gap	Other

Relationships

Registered with (7)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 8, 1997 to Jun 7, 2002factForm ADV
→ LITMAN GREGORY WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 17, 2021 to Oct 3, 2025factForm ADV
→ SENSIBA SAN FILIPPO FINANCIAL ADVISERS LLCRegistered adviserregistration: previous registration
Jan 21, 2019 to Jan 6, 2022factForm ADV
→ RAND & ASSOCIATESRegistered adviserregistration: previous registration
Jun 18, 2015 to Aug 14, 2018factForm ADV
→ WESTHILL FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 2, 2013 to Dec 3, 2013factForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Aug 26, 2010 to Mar 15, 2012factForm ADV
→ MARIN FINANCIAL ADVISORS LLCRegistered adviserregistration: previous registration
Dec 25, 2008 to Jan 22, 2009factForm ADV

Dated events

Occurred
Oct 3, 2025
Advisor changed firm
Cynthia J Morris left Litman Gregory Wealth Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-08-04)
Form ADVobserved 5 days ago
Occurred
Jan 6, 2022
Advisor changed firm
Cynthia J Morris left Sensiba San Filippo Financial Advisers Llc for Litman Gregory Wealth Management, Llc (registered 2021-12-17)
Form ADVobserved 5 days ago