Cynthia Ann Hamel
Professional Summary
Cynthia Ann Hamel, who also goes by Cynthia Ann Broadburn, Cindy Hamel, Cynthia A Hamel, is a registered financial advisor currently at OSAIC SERVICES, INC. located in Scottsdale, Arizona and OSAIC WEALTH, INC. located in Scottsdale, Arizona. Cynthia is registered as a RR (Registered Representative) and started their career in finance in 2004. Cynthia has worked at 15 firms and has passed the SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cynthia Ann Broadburn, Cindy Hamel, Cynthia A Hamel
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
22 years in the financial services industry
Current & Past Employments
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
LADENBURG THALMANN & CO. INC. | LADENBURG, THALMANN & CO., INC.
Contact Information
Main Address
640 5th Avenue 4th Floor, New York, NY 10019Mailing Address
640 5th Avenue 4th Floor, New York, NY 10019Phone Number
(212) 409-2000Established
Delaware since 12/03/1971Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | OWNER | — |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
Regulatory Event
36Arbitration
14Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Cynthia Ann Hamel's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
