Cynthia A. Thomas

STONEGATE INVESTMENT GROUP

Birmingham, AL 35242

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CRD#: 1218604

Professional summary

Cynthia Anne Thomas, who also goes by Cindy Anne Holland, Cynthia A Holland, Cindy Holland Thomas, Cynthia A Thomas, is a registered financial advisor currently at STONEGATE INVESTMENT GROUP, LLC located in Birmingham, Alabama.

Cynthia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Cynthia has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cindy Anne Holland | Cynthia A Holland | Cindy Holland Thomas | Cynthia A Thomas

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.

HOLLAND - THOMAS LLC / 942 SECTION LINE ROAD NE HANCEVILLE, AL 35077 / VACATION RENTAL PROPERTY / THIS IS A BEACH CONDO OWNED BY MY MOTHER AND IS RENTED OTHER THAN PAYING MONTHLY BILLS THAT IS ALL I WOULD DO / START DATE 07/01/2010.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Anne Thomas'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

July 9, 2021 - Present

STONEGATE INVESTMENT GROUP, LLC

Office #1: 2005 Stonegate Trail Suite # 101, Birmingham, AL 35242

RIA

CRD#: 314889

Birmingham, AL

Past

September 14, 2007 - July 20, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BIRMINGHAM, AL

Past

September 14, 2007 - July 20, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BIRMINGHAM, AL

Past

April 26, 2007 - October 2, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BIRMINGHAM, AL

Past

July 31, 1993 - October 2, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BIRMINGHAM, AL

Past

May 14, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 4, 1988 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

May 24, 1984 - February 23, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

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".

STONEGATE INVESTMENT GROUP, LLC

ISLAND WAY INVESTMENT GROUP, LLC | STONEGATE INVESTMENT GROUP, LLC

CRD#: 314889 / SEC#: 801-121509

RIA

Registered Investment Advisory firm - (6/15/2021 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.

Highlighted states indicate IAR registrations

IAR

Alabama
(7/9/2021)

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 66

Date: 4/12/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/11/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/1/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Current Firm

STONEGATE INVESTMENT GROUP, LLC

ISLAND WAY INVESTMENT GROUP, LLC | STONEGATE INVESTMENT GROUP, LLC

CRD#: 314889 / SEC#: 801-121509

RIA

Registered Investment Advisory firm - (6/15/2021 Approved)

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Contact information

Main Address

2005 Stonegate Trail Suite # 101, Birmingham, AL 35242

Mailing Address

Phone number

(205) 963-0840

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STONEGATE DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (2/24/2025)

Regulatory assets under management

Total Number of Accounts	2,768
AUM (Assets Under Management)	$ 5,670,936,072

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/02/2025	Cover Page	Report
10/10/2024	Cover Page	Report
12/12/2023	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.

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Advisor Monitoring

Firm Stability Insights

Cynthia A. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Anne Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

STONEGATE INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/12/2007

Series 63

Date: 6/11/1984

Series 7TO

Date: 3/1/2024

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1984

Current Firm

STONEGATE INVESTMENT GROUP, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STONEGATE INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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