Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cynthia? Claim Your ProfileCynthia Malmgren is a financial advisor with Wells Fargo Clearing Services, LLC in Englewood, Colorado. Cynthia has been in the financial services industry since 1994 and has a wide range of experience. She has held various roles at different firms, including Charles Schwab & Co., Inc., National Planning Corporation, and Wells Fargo Clearing Services, LLC. Cynthia is registered with both FINRA and the state of Colorado.
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.
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.
Investment consulting services to institutional clients
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
CO
03/07/2019 - Present
Wells Fargo Clearing Services, LLC (Englewood CO)
MO
12/24/2015 - 05/01/2018
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
CO
08/05/2005 - 10/28/2015
NATIONAL PLANNING CORPORATION (DENVER CO)
TX
03/05/1994 - 02/22/2005
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 11/03/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/14/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/09/2012
Series 4 - Registered Options Principal Examination
BC
Issued 10/18/2005
Series 24 - General Securities Principal Examination
BC
Issued 09/09/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 05/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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