Cynthia S. Kipple
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 Spagna Kipple, who also goes by Cynthia Ellen Kipple, Cynthia Ellen Spagna, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1984. Cynthia had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2009 - November 21, 2013
SAXONY SECURITIES, INC.
November 4, 2003 - September 1, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 30, 1999 - September 5, 2002
UBS FINANCIAL SERVICES INC.
October 11, 1992 - April 15, 1999
CITIGROUP GLOBAL MARKETS INC.
June 20, 1984 - October 29, 1992
HALPERT AND COMPANY, 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
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
