CR
Cynthia S. Reilly
TD PRIVATE CLIENT WEALTH LLC
Plymouth, MA 02360
Some features on this profile are disabled
CRD#: 1552795
CR
Professional summary
Cynthia Stella Reilly, who also goes by Cindy Batista, Cynthia S Batista, Cynthia Stella Batista, Cynthia S Reilly, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Plymouth, Massachusetts.
Cynthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Cynthia has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cindy Batista | Cynthia S Batista | Cynthia Stella Batista | Cynthia S Reilly
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.
I own a 3-family home at 139 High Street, Charlestown, MA effective May of 2023. The building is managed by Core Property Group, an independent property management company I hired to manage all aspects of the building including leasing, rental payments and maintenance. I devote less than 0-1 hour during trading hours to this business. My duties include approving leases, authorizing repairs and paying monthly bills.
CRS (Client Relationship Summary) - RIA
Click below to view Cynthia Stella Reilly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cynthia Stella Reilly'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®
NoneExperience
Current
January 27, 2014 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 2 Market Crossing, Plymouth, MA 02360RIA
BD
CRD#: 164484
Plymouth, MA
Current
November 14, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 2 Market Crossing, Plymouth, MA 02360RIA
BD
CRD#: 164484
Plymouth, MA
Past
November 18, 1986 - January 27, 2000
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
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
RR
Arizona(8/30/2021)
IAR
Arizona(9/9/2021)
RR
California(6/16/2023)
IAR
California(6/16/2023)
RR
Connecticut(3/22/2016)
IAR
Connecticut(3/22/2016)
RR
Florida(2/12/2019)
IAR
Florida(2/13/2019)
RR
Georgia(7/28/2017)
IAR
Georgia(7/28/2017)
RR
Maryland(1/21/2021)
IAR
Maryland(1/21/2021)
RR
Massachusetts(1/27/2014)
IAR
Massachusetts(1/27/2014)
RR
New Hampshire(5/20/2016)
IAR
New Hampshire(5/20/2016)
RR
New Jersey(2/12/2019)
IAR
New Jersey(2/21/2019)
RR
New Mexico(8/30/2021)
IAR
New Mexico(8/31/2021)
RR
New York(2/12/2019)
IAR
New York(9/3/2021)
RR
Ohio(6/12/2024)
IAR
Ohio(6/12/2024)
RR
Rhode Island(5/19/2016)
IAR
Rhode Island(5/19/2016)
RR
South Carolina(2/12/2019)
IAR
South Carolina(2/13/2019)
RR
Tennessee(9/16/2024)
RR
Texas(3/27/2025)
IAR
Texas(3/28/2025)
RR
Vermont(2/12/2019)
RR
Virginia(3/31/2023)
IAR
Virginia(4/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/16/1989
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
