Cindee L. Dove
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.
Cindee L. Dove, who also goes by Cindee L. Bassett, Cindee Leigh Bassett, Cindee Bassett, Cindee Bassett Rinda, Cindee Leigh Rinda, was a registered financial professional .
Cindee is a previously registered financial professional and started their career in finance in 1985. Cindee had worked at 4 firms and has passed the Series 63, SIE, 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
October 30, 2018 - December 13, 2018
BRINKER CAPITAL SECURITIES, LLC
December 9, 1996 - January 9, 2018
VANGUARD MARKETING CORPORATION
July 10, 1985 - November 12, 1996
CHARLES SCHWAB & CO., INC.
February 21, 1985 - July 17, 1985
PRUDENTIAL EQUITY GROUP, LLC
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: 12/11/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRINKER CAPITAL SECURITIES, LLC
CRD#: 38123 / SEC#: , 8-48110
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
| 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.
