Cynthia J. Tam

NATIVE FINANCE INVESTMENT ADVISORY

Vista, CA

Some features on this profile are disabled

CRD#: 1035364

Professional summary

Cynthia Jacqueline Tam, CFP® is a registered financial advisor currently at NATIVE FINANCE INVESTMENT ADVISORY located in Vista, California.

Cynthia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Cynthia has worked at 13 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)TAX PREPARATION AND ASSIST CLIENTS IN SOLVING TAX ISSUES, OWNER, NOT INVESTMENT RELATED, APPROX 16 HOURS/MONTH, APPROX 2 HOURS/MONTH DURING SECURITY TRADING HOURS. 2)INSURANCE- LIFE, HEALTH, PROPERTY & CASUALTY, OWNER, NOT INVESTMENT RELATED, APPROX 16 HOURS/MONTH, APPROX 16 HOURS/MONTH DURING SECURITY TRADING HOURS. 3)NATIVE FINANCE INSTITUTE, OWNER, NOT INVESTMENT RELATED, COMPENSATION RESEARCH AND FINANCIAL POLICY DEVELOPMENT FOR TRIBAL GOVERNMENTS; APPROX 16 HOURS/MONTH, APPROX 8 HOURS/MONTH DURING SECURITY TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Jacqueline Tam's 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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

October 10, 2013 - Present

NATIVE FINANCE INVESTMENT ADVISORY

RIA

CRD#: 4

ST. LOUIS, MO

Past

October 29, 1990 - October 30, 1992

PACIFIC COAST INDEPENDENT BROKERAGE, INC.

CRD#: 16877

Past

December 11, 1984 - November 14, 1989

FERRIS, BAKER WATTS, LLC

CRD#: 285

Past

March 10, 1983 - December 14, 1984

KUHNS BROTHERS & LAIDLAW, INC.

CRD#: 1481

Past

June 28, 1982 - October 6, 1982

EMMETT A LARKIN COMPANY, INC.

CRD#: 6625

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.

Highlighted states indicate IAR registrations

IAR

California
(10/10/2013)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/22/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/30/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/13/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/2003

General Securities Principal Examination

Current Firm

NATIVE FINANCE INVESTMENT ADVISORY

NATIVE FINANCE INSTITUTE, INC. | TAM, CYNTHIA JACQUELINE | NATIVE FINANCE INVESTMENT ADVISORY

CRD#: 168783 / SEC#:

California

Registered Investment Advisory firm - (10/10/2013 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Vista, CA

Mailing Address

Phone number

(619) 200-6277

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 600,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Cynthia J. Tam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Jacqueline Tam's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWPORT COAST SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

PARTNERVEST ADVISORY SERVICES LLC

PARTNERVEST SECURITIES, INC.

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

PACIFIC COAST INDEPENDENT BROKERAGE, INC.

FERRIS, BAKER WATTS, LLC

KUHNS BROTHERS & LAIDLAW, INC.

EMMETT A LARKIN COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/2003

Series 63

Date: 3/22/2002

Series 3

Date: 4/30/2002

Series 7

Date: 3/13/2002

Series 24

Date: 5/12/2003

Current Firm

NATIVE FINANCE INVESTMENT ADVISORY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NATIVE FINANCE INVESTMENT ADVISORY

TRUST BUT VERIFY

Similar Advisors