Cindy Michele Schwartz
Professional Summary
Cindy Michele Schwartz, who also goes by Cindy Michele Claridge Miss, was a registered financial advisor. Cindy was a previously registered financial professional and started their career in finance 2005 - 2006. Cindy had worked at 1 firm and has passed the Series 72 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cindy Michele Claridge Miss
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
SAMCO FINANCIAL SERVICES, INC. | YEE, DESMOND, SCHROEDER & ALLEN, INC.
Contact Information
Established
Arizona since 01/24/1992Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAMCO HOLDINGS, INC, | STOCKHOLDER | — |
| ALLEN, STANLEY JAMES JR | TRES, SROP, CROP, CCO, GS PRINCIPAL, DIRECTOR | 1243941 |
| BRANUM, PAULA DEANNA | MUNI BOND PRINCIPAL | 1000475 |
| BURRELLGWYDYR, DIANA LAMB SQUIRE | RIA MANAGING DIRECTOR | 2482363 |
| MALDONADO, OLGA INEZ | FIN OP | 1974097 |
| SCHROEDER, JOHN ALEXANDER | VICE PRESIDENT- GS PRINCIPAL-DIRECTOR | 1030111 |
| YEE, ALBERT | PRESIDENT- GS PRINCIPAL-DIRECTOR | 474353 |
Disclosures
Regulatory Event
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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.
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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.
Series 72 — Government Securities Representative Examination
Passed Jul 2005Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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