Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Ellis is a financial advisor at Raymond James & Associates, Inc. Cindy has been in the financial industry for over 26 years. Cindy has held various positions with several firms, including UBS Financial Services Inc., Piper Jaffray & Co., Commerce Brokerage Services, Inc., and LPL Financial LLC. Cindy has a wide range of experience in the financial industry, including investment advisory, portfolio management, and financial planning. Cindy is licensed in multiple states and has earned several industry certifications.
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.
Please see note in schedule d - miscellaneous
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
MO
03/09/2023 - Present
Raymond James & Associates, Inc. (Blue Springs MO)
SC
10/14/2022 - 01/26/2023
LPL FINANCIAL LLC (FORT MILL SC)
MO
03/19/2008 - 09/09/2022
COMMERCE BROKERAGE SERVICES, INC. (KANSAS CITY MO)
KS
08/12/2006 - 03/26/2008
UBS FINANCIAL SERVICES INC. (LEAWOOD KS)
KS
08/23/2004 - 08/12/2006
PIPER JAFFRAY & CO. (LEAWOOD KS)
NJ
09/07/2001 - 09/13/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
FL
09/14/1999 - 12/31/2000
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
MO
10/02/1995 - 09/13/1999
GEORGE K. BAUM & COMPANY (KANSAS CITY MO)
IA
Issued 01/13/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/09/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/22/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2007
Series 3 - National Commodity Futures Examination
BC
Issued 11/28/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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