Cynthia A. Hamel
Professional summary
Cynthia Ann Hamel, who also goes by Cynthia Ann Broadburn, Cindy Hamel, Cynthia A Hamel, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cynthia Ann Hamel's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2017 - Present
OSAIC SERVICES, INC.
Office #1: 18700 Hayden Road Suite 255, Scottsdale, AZ 85255January 4, 2017 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255April 21, 2020 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019April 21, 2020 - September 16, 2020
INVESTACORP, INC.
April 21, 2020 - September 18, 2020
SECURITIES SERVICE NETWORK, LLC
April 21, 2020 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
April 21, 2020 - August 19, 2024
SECURITIES AMERICA, INC.
April 21, 2020 - August 23, 2024
TRIAD ADVISORS LLC
January 4, 2017 - January 8, 2024
FSC SECURITIES CORPORATION
January 4, 2017 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
August 17, 2012 - March 3, 2016
CETERA FINANCIAL SPECIALISTS LLC
June 16, 2004 - February 1, 2010
VOYA FINANCIAL ADVISORS, INC.
June 16, 2004 - March 3, 2016
CETERA INVESTMENT SERVICES LLC
June 16, 2004 - March 3, 2016
CETERA ADVISORS LLC
June 15, 2004 - March 3, 2016
CETERA WEALTH SERVICES, 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
FINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, 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 | 36 |
| Arbitration | 14 |
Red Flags
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