Cindy Scott, financial advisor Westlake TX

Cindy Scott

CRD Number: 2918260
Current Firm: Charles Schwab & Company, Inc.

Cindy Scott (CRD# 2918260) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Westlake, TX and has over 26 years of experience in the finance industry. Cindy Scott has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Charles Schwab & Company, Inc. Westlake, TX Dec 2019 - Current 4
Jpmorgan Chase Bank Na Plano, TX Oct 2019 - Nov 2019 < 1
Jpmorgan Securities LLC Plano, TX Oct 2019 - Nov 2019 < 1
Fisher Investments Plano, TX May 2019 - Sep 2019 < 1
Unemployed Grand Prairie, TX Dec 2018 - May 2019 < 1
Transamerica Retirement Solutions Waco, TX Nov 2017 - Dec 2018 1
Transamerica Investors Securities Corporation Waco, TX Nov 2017 - Dec 2018 1
Valuteachers Grand Prairie, TX Feb 2017 - Nov 2017 < 1
Think2perform Grand Prairie, TX Jun 2016 - Jan 2017 < 1
Unemployed Grand Prairie, TX Feb 2016 - May 2016 < 1
1st Global Research & Consulting Dallas, TX Jan 2009 - Feb 2016 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1997
S65 NASAA Investment Advisors Law Examination Aug 1997
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Cindy Scott
Phone Number: 415-667-7000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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