Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cynthia? Claim Your ProfileCynthia L. Buckman is a registered representative with Stifel, Nicolaus & Company, Inc. in Santa Rosa, CA. Cynthia has been in the securities industry since 2004. Cynthia has passed the Series 66, Series 63, Series 7, Series 9, Series 10, and SIE exams. Cynthia has also been registered as an investment advisor in the state of California. Cynthia's registration is active and she has been registered with Stifel, Nicolaus & Company, Inc. since 2013. Cynthia's current firm is a large financial services company, which employs thousands of registered representatives and investment advisors. Cynthia also has previous experience with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and DAIN RAUSCHER INCORPORATED. Cynthia has a wide range of experience and is well-qualified to provide financial advice.
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.
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
CA
09/03/2014 - Present
Stifel, Nicolaus & Company, Inc. (SANTA ROSA CA)
CA
03/14/2008 - 01/13/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SANTA ROSA CA)
NY
03/02/1998 - 02/04/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
02/28/1991 - 03/02/1998
DAIN RAUSCHER INCORPORATED
BOTH
Issued 09/02/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/07/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/02/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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