Cindy L. Jorgensen
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 Lee Jorgensen, who also goes by Cindy Lee Snider, was a registered financial professional .
Cindy is a previously registered financial professional and started their career in finance in 1993. Cindy had worked at 3 firms and has passed the Series 63, SIE, Series 7 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
May 31, 2005 - March 23, 2017
SWBC INVESTMENT SERVICES, LLC
February 3, 2005 - June 24, 2005
CETERA WEALTH SERVICES, LLC
September 23, 1993 - January 29, 1996
SWBC INVESTMENT COMPANY
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
SWBC INVESTMENT SERVICES, LLC
CRD#: 133715 / SEC#: , 8-66764
Contact information
FINRA licenses (49 States and Territories)
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.
