Cindy M. Schwartz
Professional summary
Cindy Michele Schwartz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cindy is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Cindy had worked at 1 firm, which includes SAMCO FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2005 - August 11, 2006
SAMCO FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 7/29/2005
Government Securities Representative ExaminationCurrent Firm
SAMCO FINANCIAL SERVICES, INC.
CRD#: 30108 / SEC#: , 8-44713
Contact information
Documents
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 | 3 |
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