Cindy M. Yonce
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 Marie Yonce, who also goes by Cindy M Yonce, was a registered financial professional .
Cindy is a previously registered financial professional and started their career in finance in 2000. Cindy had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2018 - January 22, 2022
TD AMERITRADE, INC.
December 16, 2008 - February 26, 2018
SCOTTRADE, INC.
July 25, 2008 - December 1, 2008
LPL FINANCIAL LLC
July 25, 2008 - December 1, 2008
LPL FINANCIAL LLC
October 21, 2003 - July 9, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 9, 2003 - July 9, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 29, 2003 - October 16, 2003
R.T. JONES CAPITAL EQUITIES, INC.
June 12, 2001 - September 16, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 9, 2000 - June 20, 2001
UMB FINANCIAL SERVICES, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
