Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Diane Rowland is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Cindy has been in the securities industry since 1994 and holds a Series 6, Series 7, Series 26, Series 51, and Series 63 license. Cindy is also registered as an investment advisor representative in 31 states. Previously, Cindy has worked with MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., STATE FARM VP MANAGEMENT CORP., LINCOLN FINANCIAL DISTRIBUTORS, INC., ENTERPRISE FUND DISTRIBUTORS, INC., FSC SECURITIES CORPORATION, VAN KAMPEN MERRITT INC., FIRST EQUITY CORPORATION OF FLORIDA, and JOHN NUVEEN & CO., INCORPORATED.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
OH
06/10/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CINCINNATI OH)
OH
06/01/2009 - 03/28/2012
MORGAN STANLEY SMITH BARNEY (CINCINNATI OH)
OH
07/16/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CINCINNATI OH)
IL
10/11/2002 - 05/07/2008
STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)
PA
01/30/2001 - 08/02/2002
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
NA
05/03/1989 - 01/23/1990
ENTERPRISE FUND DISTRIBUTORS, INC.
NA
11/24/1987 - 05/15/1989
FSC SECURITIES CORPORATION
NA
12/20/1984 - 11/04/1987
VAN KAMPEN MERRITT INC.
NA
09/19/1984 - 12/04/1984
FIRST EQUITY CORPORATION OF FLORIDA
NA
06/04/1982 - 06/20/1984
JOHN NUVEEN & CO., INCORPORATED
BOTH
Issued 09/22/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/07/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/21/2004
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 05/14/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/2008
Series 7 - General Securities Representative Examination
BC
Issued 01/29/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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