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CR

Cindy E. Ramsey

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 4065724
CR

Professional summary

Cindy Embry Ramsey, who also goes by Cindy Lynn Embry, Cindy Lynn Ramsey, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Cindy is registered as a RR (Registered Representative) and started their career in finance in 2000. Cindy has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cindy Lynn Embry | Cindy Lynn Ramsey

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cindy Embry Ramsey's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 2, 2024 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901
BD
CRD#: 37157
SUMMIT, NJ
Past

November 7, 2019 - September 30, 2024

RETIREONE INVESTMENT SERVICES, LLC

BD
CRD#: 269923
Louisville, KY
Past

July 8, 2016 - October 15, 2019

PORTSMOUTH FINANCIAL SERVICES

BD
CRD#: 13980
Louisville, KY
Past

November 1, 2011 - July 6, 2016

PROTECTED INVESTORS OF AMERICA

BD
CRD#: 6082
LOUISVILLE, KY
Past

March 23, 2005 - November 3, 2011

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
LOUISVILLE, KY
Past

January 15, 2004 - September 13, 2004

TOUCHSTONE SECURITIES, LLC

BD
CRD#: 1526
CINCINNATI, OH
Past

March 1, 2000 - September 10, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(10/2/2024)
RR
Alaska
(10/2/2024)
RR
Arizona
(10/2/2024)
RR
Arkansas
(10/2/2024)
RR
California
(10/2/2024)
RR
Colorado
(10/2/2024)
RR
Connecticut
(10/2/2024)
RR
Delaware
(10/2/2024)
RR
District of Columbia
(10/2/2024)
RR
Florida
(10/2/2024)
RR
Georgia
(10/2/2024)
RR
Hawaii
(10/2/2024)
RR
Idaho
(10/2/2024)
RR
Illinois
(10/2/2024)
RR
Indiana
(10/2/2024)
RR
Iowa
(10/2/2024)
RR
Kansas
(10/2/2024)
RR
Kentucky
(10/2/2024)
RR
Louisiana
(10/2/2024)
RR
Maine
(10/2/2024)
RR
Maryland
(10/2/2024)
RR
Massachusetts
(10/2/2024)
RR
Michigan
(10/2/2024)
RR
Minnesota
(10/2/2024)
RR
Mississippi
(10/2/2024)
RR
Missouri
(10/2/2024)
RR
Montana
(10/2/2024)
RR
Nebraska
(10/2/2024)
RR
Nevada
(10/2/2024)
RR
New Hampshire
(10/2/2024)
RR
New Jersey
(10/2/2024)
RR
New Mexico
(10/2/2024)
RR
New York
(10/2/2024)
RR
North Carolina
(10/2/2024)
RR
North Dakota
(10/2/2024)
RR
Ohio
(10/2/2024)
RR
Oklahoma
(10/2/2024)
RR
Oregon
(10/2/2024)
RR
Pennsylvania
(10/2/2024)
RR
Rhode Island
(10/2/2024)
RR
South Carolina
(10/2/2024)
RR
South Dakota
(10/2/2024)
RR
Tennessee
(10/2/2024)
RR
Texas
(10/2/2024)
RR
Utah
(10/2/2024)
RR
Vermont
(10/2/2024)
RR
Virginia
(10/2/2024)
RR
Washington
(10/2/2024)
RR
West Virginia
(10/2/2024)
RR
Wisconsin
(10/2/2024)
RR
Wyoming
(10/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/7/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/29/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/13/2020
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TL
THE LEADERS GROUP, INC.
SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
475 Springfield Ave Suite 1, Summit, NJ 07901
Phone number
(303) 797-9080
Established
Delaware since 07/14/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.SHAREHOLDER
PETERS, ROBERT WILLIAMFINOP1704577
RILEY, ZORAH JANECHIEF COMPLIANCE OFFICER3015509
WICKERSHAM, SEAN DAVIDPRESIDENT4994630

Disclosures

Regulatory Event4

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.

Company Information

THE LEADERS GROUP, INC.

CRD#: 37157Summit, NJ 07901

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