Cynthia M. Valez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cynthia Margo Valez, who also goes by Cynthia Margo Flynn, Cynthia Margo Price, Cindy Uhlman, Cynthia M Uhlman, Cynthia Margo Uhlman, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1992. Cynthia had worked at 8 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2005 - October 15, 2012
FELTL & COMPANY
July 5, 2001 - July 7, 2005
ADVEST, INC.
June 7, 1999 - February 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
October 11, 1996 - May 17, 1999
ROBERT W. BAIRD & CO. INCORPORATED
May 16, 1996 - August 19, 1996
MML INVESTORS SERVICES, LLC
November 2, 1993 - July 3, 1995
CHARLES SCHWAB & CO., INC.
October 5, 1992 - June 1, 1993
WADDELL & REED
June 22, 1992 - September 9, 1992
PREMIERETRADE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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