Cynthia A. Kolbeck

MUTUAL SECURITIES

Wichita, KS 67206

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CRD#: 2111360

Professional summary

Cynthia Anne Kolbeck, who also goes by Cynthia Anne Bessent, Cynthia Anne Wedel, is a registered financial professional currently at MUTUAL SECURITIES, INC. located in Wichita, Kansas.

Cynthia is registered as a RR (Registered Representative) and started their career in finance in 1993. Cynthia has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cynthia Anne Bessent | Cynthia Anne Wedel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cynthia Anne Kolbeck's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 30, 2017 - Present

MUTUAL SECURITIES, INC.

Office #1: 10585 East 21st Street North, Wichita, KS 67206

CRD#: 13092

Wichita, KS

Past

January 19, 2000 - December 11, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WICHITA, KS

Past

February 2, 1998 - December 11, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WICHITA, KS

Past

August 4, 1993 - October 3, 1997

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Kansas
(12/11/2017)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/20/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 3/22/2000

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

MUTUAL SECURITIES, INC.

COWLES, SABOL & COMPANY, INCORPORATED | MUTUAL SECURITIES, INC. OF CALIFORNIA | MUTUAL SECURITIES, INC. | MUTUAL SECURITIES INC., OF CALIFORNIA | MUTUAL SECURITIES INC. OF CALIFORNIA

CRD#: 13092 / SEC#: 801-68443, 8-28580

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

807-a Camarillo Springs Road, Camarillo, CA 93012

Mailing Address

P.o. Box 2864, Camarillo, CA 93011

Phone number

(805) 764-6730

Established

California since 02/04/1982

Firm type

Corporation

Fiscal year end

June

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MUTUAL GROUP, INC.	CORPORATION
CLAUSSEN, DAWN MARIE	CHIEF OPERATING OFFICER	5445747
DAMIANI, NICHOLAS ARTHUR	CHIEF ADMINISTRATIVE OFFICER	5669491
JASPER, AARON T	CHIEF EXECUTIVE OFFICER	5016734
SABOL, RYAN STEPHEN	MANAGING PRINCIPAL	4419285
SHANNON, DEBRA DAWN	CHIEF COMPLIANCE OFFICER	5021297
VOSS, MITCHELL CRAIG	CHAIRMAN	1029100

Disclosures

Regulatory Event	2
Arbitration	8

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.

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Advisor Monitoring

Firm Stability Insights

Cynthia A. Kolbeck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cynthia Anne Kolbeck's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1999

Series 63

Date: 8/20/1993

SIE

Date: 10/1/2018

Series 7

Date: 8/3/1993

Series 9

Date: 4/20/2000

Series 10

Date: 3/22/2000

FINRA

Current Firm

MUTUAL SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MUTUAL SECURITIES, INC.

TRUST BUT VERIFY

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