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Cindy Diane Kelley

Ameriprise Financial Services, LLC

Santa Maria, CA

Santa Maria, CA

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2006-10-03
CA RA APPROVED 1997-12-15
  • TX RA
    APPROVED_RES
    Since 2006-10-03
  • CA RA
    APPROVED
    Since 1997-12-15

Branch Locations

2605 S Miller St Ste 104, Santa Maria, CA 93455 • United States

Santa Maria, CA • 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
Ameriprise Financial Services, Inc. Santa Maria CA 09/2005 03/2020
Ameriprise Financial Services, Llc Santa Maria CA 03/2020 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-09-22
  • S63 Uniform Securities Agent State Law Examination
    1995-09-22
Other Names
  • Cindy Kelley Tandy
  • Cindy Diane Kelley-Tandy
  • Cindy Diane Kelley-Tandy

View on SEC IAPD

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Other Offices

EAGLE STRATEGIES LLC · SANTA MARIA, CA
EAGLE STRATEGIES LLC · SANTA MARIA, CA
EAGLE STRATEGIES LLC · SANTA MARIA, CA
EDWARD JONES · SANTA MARIA, CA
X ADVISORS, LLC · SANTA MARIA, CA
INDEPENDENT FINANCIAL GROUP, LLC · Santa Maria, CA
J.P. MORGAN SECURITIES LLC · SANTA MARIA, CA
ONEDIGITAL · Santa Maria, CA

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