Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Lee is a financial professional with over 25 years of experience in the industry. Cindy is currently registered as a Registered Representative with Charles Schwab & CO., Inc. and has previously worked at firms including MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and DAIWA SECURITIES AMERICA INC.. Cindy is licensed to provide investment advice and securities brokerage services in multiple states, and holds licenses including Series 7, Series 3, Series 10, Series 9 and Series 63. Cindy is also a registered Investment Advisor representative in the state of Georgia.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
FL
05/05/2004 - Present
Charles Schwab & CO., Inc. (Jacksonville FL)
NY
05/06/1998 - 01/25/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
02/01/1994 - 06/14/1996
DAIWA SECURITIES AMERICA INC. (NEW YORK NY)
IA
Issued 05/29/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/1994
Series 7 - General Securities Representative Examination
BC
Issued 11/01/1993
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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