Cindy R. Sieden
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.
Cindy R Sieden, who also goes by Cindy Robin Sieden, Cindy Sieden, was a registered financial professional .
Cindy is a previously registered financial professional and started their career in finance in 1989. Cindy had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2011 - May 30, 2018
RABO SECURITIES USA, INC.
December 12, 2008 - October 20, 2010
NATWEST MARKETS SECURITIES INC.
August 8, 2008 - December 12, 2008
RBS SECURITIES CORPORATION
October 19, 2004 - August 8, 2008
ABN AMRO INCORPORATED
November 28, 1997 - November 21, 2002
CITIGROUP GLOBAL MARKETS INC.
September 19, 1989 - September 1, 1998
SALOMON BROTHERS 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
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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