Cindy G. Sipkin

CETERA INVESTMENT ADVISERS LLC

UNIONDALE, NY 11553

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CRD#: 1003626

Professional summary

Cindy Gail Sipkin, who also goes by Cindy Gail Wolfson, Cindy Wolfson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Uniondale, New York and CETERA WEALTH SERVICES, LLC located in Uniondale, New York.

Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Cindy has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cindy Gail Wolfson | Cindy Wolfson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ALLIED WEALTH PARTNERS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2014 ADDRESS: , Uniondale NY , United States DESCRIPTION: Agent/Broker

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cindy Gail Sipkin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 50 Charles Lindbergh Blvd Ste 420, Uniondale, NY 11553

RIA

CRD#: 105644

UNIONDALE, NY

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 50 Charles Lindbergh Blvd Suite 420, Uniondale, NY 11553

CRD#: 13572

Uniondale, NY

Past

May 29, 2021 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

UNIONDALE, NY

Past

January 28, 2014 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

UNIONDALE, NY

Past

June 9, 2004 - January 22, 2014

NEW ENGLAND SECURITIES

CRD#: 615

UNIONDALE, NY

Past

August 30, 1993 - June 1, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

April 26, 1983 - August 30, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

April 5, 1983 - September 9, 1986

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

Past

August 18, 1981 - January 21, 1982

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(8/14/2023)

New Jersey
(8/10/2023)

New York
(8/10/2023)

IAR

New York
(8/10/2023)

Rhode Island
(8/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/5/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/16/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1981

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Cindy G. Sipkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cindy Gail Sipkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

NATHAN & LEWIS SECURITIES, INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/5/2015

Series 63

Date: 4/16/1987

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1981

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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