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Cynthia Anne Kelley

Oppenheimer & Co. Inc.

The Woodlands, TX

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-07-25
  • TX RA
    APPROVED
    Since 2023-07-25

Branch Locations

Research Forest Lakeside Building 4 2445 Technology Forest Boulevard - Suite 510, The Woodlands, TX 77381 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. The Woodlands TX 10/2010 03/2023
J.P. Morgan Securities Llc Houston TX 03/2023 07/2023
Jpmorgan Chase Bank, N.A. Houston TX 03/2023 07/2023
Oppenheimer & Co. Inc. The Woodlands TX 07/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-26
S63 Uniform Securities Agent State Law Examination 2000-12-04
  • S66 Uniform Combined State Law Examination
    2004-07-26
  • S63 Uniform Securities Agent State Law Examination
    2000-12-04
Other Names
  • Cynthia Anne Kelley
  • Cynthia Kelley
  • Cynthia Anne Fleming
  • Cynthia Anne Parece

View on SEC IAPD

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