Cindy E. Emory
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 Elizabeth Emory, who also goes by Cindy Elizabeth Brown, Cindy Elizabeth Clark, was a registered financial professional .
Cindy is a previously registered financial professional and started their career in finance in 2012. Cindy had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2013 - December 31, 2021
CREDIT UNION INVESTMENT SERVICES
July 23, 2012 - December 31, 2021
SECU BROKERAGE SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
CREDIT UNION INVESTMENT SERVICES
CRD#: 144871 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 110,960 |
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.
