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CYNTHIA ANNE KELLEY
Cynthia Anne Fleming, Cynthia Anne Kelley, Cynthia Kelley, Cynthia Anne Parece
CRD#: 4009740
IA
B
OPPENHEIMER & CO. INC.CRD#: 249 RESEARCH FOREST LAKESIDE BUILDING 4
2445 TECHNOLOGY FOREST BOULEVARD - SUITE 510
THE WOODLANDS, TX 77381
2445 TECHNOLOGY FOREST BOULEVARD - SUITE 510
THE WOODLANDS, TX 77381
0
Disclosures
25
Years of Experience
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State Registrations
B
Alaska 7/25/2023
B
New Jersey 1/17/2024
B
Arizona 7/25/2023
B
New Mexico 1/17/2024
B
Arkansas 7/25/2023
B
New York 1/17/2024
B
California 7/25/2023
B
North Carolina 1/2/2025
B
Colorado 7/25/2023
B
Oklahoma 1/17/2024
B
Connecticut 7/25/2023
B
Oregon 1/17/2024
B
Florida 7/25/2023
B
Pennsylvania 1/17/2024
B
Idaho 7/25/2023
B
South Carolina 1/17/2024
B
Illinois 7/25/2023
B
Tennessee 7/25/2023
B
Indiana 8/23/2023
B
Texas 7/25/2023
B
Louisiana 7/25/2023
IA
Texas 7/25/2023
B
Maine 7/25/2023
B
Utah 7/25/2023
B
Maryland 2/15/2024
B
Vermont 7/25/2023
B
Massachusetts 7/25/2023
B
Washington 7/25/2023
B
Michigan 7/25/2023
B
West Virginia 1/2/2025
B
Nevada 1/17/2024
B
Wisconsin 7/25/2023
B
New Hampshire 1/17/2024
B
Wyoming 7/25/2023
SRO Registrations
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B
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IA
Registered with this firm since 7/25/2023
B
Registered with this firm since 7/25/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/24/2023 - 07/22/2023 | Houston, TX | |
B | 03/24/2023 - 07/22/2023 | Houston, TX | |
IA | 10/27/2010 - 03/17/2023 | THE WOODLANDS, TX | |
B | 10/27/2010 - 03/17/2023 | THE WOODLANDS, TX | |
IA | 06/01/2009 - 10/27/2010 | THE WOODLANDS, TX | |
B | 06/01/2009 - 10/27/2010 | THE WOODLANDS, TX | |
IA | 02/05/2009 - 06/01/2009 | THE WOODLANDS, TX | |
B | 02/05/2009 - 06/01/2009 | THE WOODLANDS, TX | |
IA | 07/27/2004 - 01/22/2009 | KINGWOOD, TX | |
B | 09/07/1999 - 01/22/2009 | KINGWOOD, TX |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.