Cecilia L. Gondor
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.
Cecilia Laura Gondor was a registered financial professional .
Cecilia is a previously registered financial professional and started their career in finance in 1985. Cecilia had worked at 2 firms and has passed the Series 66, Series 63, Series 55, Series 7, Series 24, Series 4 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2006 - June 20, 2014
THOMAS J. HERZFELD ADVISORS, INC.
March 28, 1985 - January 5, 2011
THOMAS J. HERZFELD & CO., INCORPORATED
Primary Firm SEC Registration
THOMAS J. HERZFELD ADVISORS, INC.
CRD#: 108369 / SEC#: 801-20866
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 55
Date: 3/31/2000
Limited Representative-Equity Trader ExamCurrent Firm
THOMAS J. HERZFELD ADVISORS, INC.
CRD#: 108369 / SEC#: 801-20866
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 294 |
| AUM (Assets Under Management) | $ 847,596,732 |
Red Flags
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