Cynthia D. Franke
Professional summary
Cynthia Diane Franke was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cynthia is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Cynthia had worked at 6 firms, which includes LAIDLAW & COMPANY (UK) LTD., OPPENHEIMER & CO. INC., SANDS BROTHERS & CO. LTD., BLUESTONE CAPITAL CORP., SSI SECURITIES CORP., TRANSCO SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2006 - March 8, 2010
LAIDLAW & COMPANY (UK) LTD.
October 21, 2002 - August 18, 2006
OPPENHEIMER & CO. INC.
November 20, 2001 - December 20, 2002
SANDS BROTHERS & CO., LTD.
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
June 30, 1986 - August 31, 2001
SSI SECURITIES CORP.
March 25, 1985 - June 30, 1986
TRANSCO SECURITIES
July 26, 1984 - February 21, 1985
SSI SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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