Cynthia A. Ashley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cynthia Ann Ashley, who also goes by Cindy Wauters, Cynthia Ann Wauters, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1986. Cynthia had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2020 - December 31, 2021
USAA INVESTMENT SERVICES COMPANY
January 8, 2018 - December 31, 2021
USAA INVESTMENT SERVICES COMPANY
July 25, 2012 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
September 22, 2008 - July 27, 2012
USAA INVESTMENT SERVICES COMPANY
September 21, 2007 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
September 28, 2000 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
August 30, 1995 - December 31, 1998
USAA INVESTMENT SERVICES COMPANY
January 10, 1991 - October 26, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 22, 1987 - December 31, 1990
USAA INVESTMENT SERVICES COMPANY
May 13, 1986 - June 5, 1987
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
