Cynthia M. Nelson
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.
Cynthia Marie Nelson, who also goes by Tia Nelson, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1976. Cynthia had worked at 17 firms and has passed the Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2011 - January 2, 2013
PHILADELPHIA INVESTORS, LTD.
May 11, 2011 - November 7, 2011
CV BROKERAGE, INC
October 26, 2009 - May 5, 2011
COLUMBIA CAPITAL SECURITIES, INC.
October 21, 2008 - February 12, 2009
DREXEL HAMILTON, LLC
February 25, 2008 - October 22, 2008
KILDARE CAPITAL, INC.
October 7, 2002 - January 3, 2008
OPPENHEIMER & CO. INC.
October 10, 2000 - October 14, 2002
LEHMAN BROTHERS INC.
July 1, 1998 - October 18, 2000
COWEN AND COMPANY
May 12, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 15, 1994 - May 13, 1997
SBC WARBURG DILLON READ INC.
November 28, 1989 - January 21, 1994
CREDIT SUISSE SECURITIES (USA) LLC
August 17, 1982 - December 2, 1989
PERSHING LLC
April 20, 1982 - August 6, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
August 7, 1980 - March 22, 1982
BECKER PARIBAS INCORPORATED
October 31, 1978 - August 3, 1980
CIBC WORLD MARKETS CORP.
July 13, 1978 - November 12, 1978
BECKER PARIBAS INCORPORATED
November 17, 1976 - July 13, 1978
BECKER SECURITIES INCORPORATED
March 1, 1976 - February 12, 1977
CITIGROUP GLOBAL MARKETS 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
PC
Date: 9/2/1977
AMEX Put and Call ExamCurrent Firm
PHILADELPHIA INVESTORS, LTD.
CRD#: 23905 / SEC#: , 8-40805
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
