Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Clark has been in the financial services industry since January 6, 1991. Cindy currently works as a Registered Representative for Merrill Lynch, Pierce, Fenner & Smith Inc., in Montgomery, Alabama. Cindy Clark is licensed in multiple states. Cindy holds the Series 4, Series 7, Series 9, Series 10, Series 24, Series 53, Series 63 and Series 65 licenses. Cindy has a long history of working with individual clients, corporate clients, and institutional clients.
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
AL
05/04/1998 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MONTGOMERY AL)
TX
09/17/1997 - 02/11/1998
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
NA
03/31/1997 - 09/17/1997
LINK INVESTMENT SERVICES, INC.
TN
10/04/1994 - 04/04/1997
PFIC SECURITIES CORPORATION (FRANKLIN TN)
IA
07/14/1993 - 10/03/1994
AEGON USA SECURITIES INC. (CEDAR RAPIDS IA)
NA
10/22/1986 - 04/27/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 04/30/1998
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/11/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/27/2017
Series 4 - Registered Options Principal Examination
BC
Issued 12/10/1993
Series 24 - General Securities Principal Examination
BC
Issued 11/20/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1986
Series 7 - General Securities 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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