Cindy L. Winchester
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 Louis Winchester, who also goes by Cindy Winchester Lay, Cindy Winchester Mcelrath, Cindy Winchester, Cindy Winchester-lay, was a registered financial professional .
Cindy is a previously registered financial professional and started their career in finance in 2003. Cindy had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - February 16, 2016
SECURITIES SERVICE NETWORK, LLC
July 19, 2011 - February 16, 2016
SSN ADVISORY, INC.
July 23, 2010 - July 21, 2011
ONEAMERICA SECURITIES, INC.
September 9, 2008 - July 29, 2010
MML INVESTORS SERVICES, LLC
September 9, 2008 - July 29, 2010
MML INVESTORS SERVICES, LLC
February 1, 2008 - August 15, 2008
CUE FINANCIAL GROUP, INC.
November 9, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 9, 2005 - February 7, 2008
MSI FINANCIAL SERVICES, INC.
November 1, 2004 - November 2, 2005
FIRST HORIZON ADVISORS, INC.
June 3, 2003 - September 15, 2004
AMERICAN FIDELITY SECURITIES, 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
SECURITIES SERVICE NETWORK, LLC
CRD#: 13318 / SEC#: , 8-28980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHARE HOLDER | |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR | 3086071 |
| GODBEE, CRYSTAL LEE | VICE PRESIDENT OF OPERATIONS | 5629010 |
| KLIMAS, RONALD THOMAS | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2321602 |
| MAAS, JONATHAN ELMER | VICE PRESIDENT, TRADING | 2793069 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PATEL, JAYAPRAKASH MOHANBHAI | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 2973297 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| WILKINSON, WADE SHANNON | PRESIDENT AND CEO | 2312703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
| Bond | 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.
