Cynthia S. Brueckman
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 Suzanne Brueckman, who also goes by Cindy Susan Aman, Cindy Suzzanne Aman, Cindy Brueckman, Cynthia Suzanne Reichardt, Cynthia Reichardt, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1996. Cynthia had worked at 10 firms and has passed the Series 66, Series 65, SIE, Series 7 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
Experience
July 6, 2018 - November 7, 2023
T. ROWE PRICE INVESTMENT SERVICES, INC.
June 11, 2012 - May 30, 2018
OSAIC FA, INC.
June 7, 2012 - May 30, 2018
OSAIC FA, INC.
May 12, 2010 - May 31, 2012
REGISTER FINANCIAL ADVISORS, LLC
May 12, 2010 - May 31, 2012
REGISTER FINANCIAL ASSOCIATES, INC.
October 1, 2009 - March 12, 2010
HARRISDIRECT LLC
September 25, 2009 - March 12, 2010
E*TRADE SECURITIES LLC
May 8, 2008 - June 19, 2009
PRINCIPAL SECURITIES, INC.
April 30, 2008 - June 19, 2009
PRINCIPAL SECURITIES, INC.
October 14, 2004 - March 3, 2006
MONY SECURITIES CORPORATION
March 11, 2004 - April 4, 2008
EQUITABLE ADVISORS, LLC
January 23, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 23, 1998 - December 19, 2001
EQUITABLE ADVISORS, LLC
January 30, 1996 - November 14, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 30, 1996 - November 14, 1997
EQUITABLE ADVISORS, 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
Current Firm
T. ROWE PRICE INVESTMENT SERVICES, INC.
CRD#: 8348 / SEC#: , 8-25130
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T. ROWE PRICE ASSOCIATES, INC. | SHAREHOLDER | |
| BROWN, ANNE WHITESCARVER | VICE PRESIDENT/DIRECTOR | 2396529 |
| COYNE, TIMOTHY JOHN | DIRECTOR | 2096849 |
| HERR, DAVID J | VICE PRESIDENT/DIRECTOR | 7659903 |
| KORENMAN, PHILLIP | PRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD | 4531831 |
| MUMFORD, STEPHANIE PETERS | VICE PRESIDENT/CCO | 2725261 |
| NEWMAN, CHRISTOPHER CUDDY | VICE PRESIDENT/DIRECTOR | 2037516 |
| NYCE, BRITTON | VICE PRESIDENT/CONTROLLER | 7313600 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
