Cindi J. Wicker
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.
Cindi Jo Wicker was a registered financial professional .
Cindi is a previously registered financial professional and started their career in finance in 1998. Cindi had worked at 5 firms and has passed the Series 63 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
September 14, 2004 - December 3, 2012
SAXONY SECURITIES, INC.
August 30, 2000 - September 15, 2004
BIRKELBACH INVESTMENT SECURITIES, INC.
February 2, 1999 - May 26, 2000
SENTRA SECURITIES CORPORATION
December 10, 1998 - February 18, 1999
SII INVESTMENTS, INC.
August 12, 1998 - December 9, 1998
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
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
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
