Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Kelly has been in the securities industry since 2003. Cindy is currently registered with Uhlmann Price Securities, LLC in Chicago, Illinois. Cindy has passed the Series 7, Series 24, Series 63, Series 99TO and the SIE exams. Cindy was previously registered with SG Cowen Securities Corporation in New York, New York.
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.
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.
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IL
10/29/2004 - Present
Uhlmann Price Securities, LLC (Chicago IL)
NY
08/10/2001 - 12/17/2002
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
BC
Issued 12/06/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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