Cynthia L. Hardman
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 Lynn Hardman, CFP®, who also goes by Cynthia Ream, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1989. Cynthia had worked at 5 firms and has passed the Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1993
Experience
March 19, 2010 - December 31, 2024
INDEPENDENCE CAPITAL CO., INC.
November 27, 2006 - November 16, 2010
CYNTHIA LYNN HARDMAN, CFP
July 20, 2004 - December 31, 2024
INDEPENDENCE CAPITAL CO., INC.
January 1, 2004 - August 6, 2004
CETERA ADVISORS LLC
January 6, 1997 - January 1, 2004
VESTAX SECURITIES CORPORATION
August 28, 1989 - December 31, 1996
THRIVENT INVESTMENT MANAGEMENT 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 62
Date: 6/23/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
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.
