Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cecile? Claim Your ProfileCecile Komplita is a financial advisor with over 29 years of experience in the industry. Cecile is currently registered with Stifel, Nicolaus & Company, Inc. in New York and Texas. Cecile's previous experience includes working with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, JANNEY MONTGOMERY SCOTT LLC, J.P. MORGAN SECURITIES LLC, WJB CAPITAL GROUP, INC., SCHONFELD SECURITIES, LLC, RBC DOMINION SECURITIES CORPORATION, SMITH BORKUM HARE INC, SMITH NEW COURT, INC. and JEFFERIES & COMPANY, INC. Cecile holds Series 6, 7, 63, and 65 licenses. Cecile specializes in providing financial planning, portfolio management, and educational seminars to a wide range of clients, including individuals, businesses, charitable organizations, and pooled investment vehicles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
05/31/2022 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
04/09/2018 - 06/01/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/14/2017 - 03/22/2018
JANNEY MONTGOMERY SCOTT LLC (NEW YORK NY)
NY
05/27/2015 - 06/29/2017
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
03/14/2002 - 01/05/2012
WJB CAPITAL GROUP, INC. (NEW YORK NY)
NY
12/01/1998 - 08/03/2000
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
09/24/1996 - 08/05/1998
RBC DOMINION SECURITIES CORPORATION (NEW YORK NY)
NY
10/24/1995 - 07/30/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
06/08/1995 - 01/31/1996
SMITH BORKUM HARE INC
NY
04/12/1991 - 03/17/1995
SMITH NEW COURT, INC. (NEW YORK NY)
NY
01/14/1991 - 03/27/1991
FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)
NY
08/18/1987 - 11/16/1990
JEFFERIES & COMPANY, INC. (NEW YORK NY)
IA
Issued 01/04/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/08/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/2017
Series 7 - General Securities Representative Examination
BC
Issued 05/26/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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