Cynthia K. Fick

FINANCIAL LIFE PLANNERS

TEMPE, AZ 85282

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CRD#: 1643732

Professional summary

Cynthia Kay Fick, who also goes by Cynthia Sullivan Fick, Cindy Sullivan, Cynthia Kay Sullivan, Cindy Tomlin, Cynthia Kay Tomlin, Cynthia Tomlin, is a registered financial advisor currently at FINANCIAL LIFE PLANNERS located in Tempe, Arizona.

Cynthia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Cynthia has worked at 8 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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) FLP Insurance Services LLC/non-investment related/Chandler, AZ/Entity not used/December 2014/0 hours 2) Pine Dreams LLC/non-investment related/Gilbert, AZ/April 2019/Real estate rental and leasing/0-5 hours per month 3) The Sisterhood of Money LLC/non-investment related/Chandler, AZ/May 2015/AUTHOR AND TRAINER OF THE BOOK, THE SISTERHOOD OF MONEY AND PROGRAMS/0-5 hours per month 4) Fixed-insurance, Life Insurance, and Long-Term insurance sales/investment-related/Phoenix, AZ/10-20 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Kay Fick'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

January 2, 2004 - Present

FINANCIAL LIFE PLANNERS

Office #1: 2151 E Broadway Suite 203, Tempe, AZ 85282

RIA

CRD#: 129415

TEMPE, AZ

Past

December 12, 2003 - December 31, 2003

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

May 12, 2003 - December 11, 2003

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

CHANDLER, AZ

Past

February 19, 1999 - December 11, 2003

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

November 11, 1994 - March 10, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 27, 1994 - November 29, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 20, 1992 - June 11, 1993

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

October 25, 1988 - January 17, 1992

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

Past

September 7, 1988 - October 26, 1988

THE ADVISORS GROUP, INC.

CRD#: 14035

Past

March 25, 1987 - September 16, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

FINANCIAL LIFE PLANNERS

FINANCIAL LIFE PLANNERS | FINANCIAL LIFE PLANNERS LLC

CRD#: 129415 / SEC#: 801-127888

RIA

Registered Investment Advisory firm - (5/1/2023 Approved)

Arizona

Registered Investment Advisory firm - (11/20/2023 Terminated)

California

Registered Investment Advisory firm - (12/20/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/6/2012 Terminated)

Texas

Registered Investment Advisory firm - (11/20/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(1/2/2004)

IAR

California
(5/25/2022)

IAR

Texas
(7/8/2022)

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: 5/5/2003

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/28/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

Current Firm

FINANCIAL LIFE PLANNERS

FINANCIAL LIFE PLANNERS | FINANCIAL LIFE PLANNERS LLC

CRD#: 129415 / SEC#: 801-127888

RIA

Registered Investment Advisory firm - (5/1/2023 Approved)

Arizona

Registered Investment Advisory firm - (11/20/2023 Terminated)

California

Registered Investment Advisory firm - (12/20/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/6/2012 Terminated)

Texas

Registered Investment Advisory firm - (11/20/2023 Terminated)

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Contact information

Main Address

2151 E Broadway Suite 203, Tempe, AZ 85282

Mailing Address

Phone number

(480) 477-8530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/14/2025)

Regulatory assets under management

Total Number of Accounts	788
AUM (Assets Under Management)	$ 174,578,704

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 K. Fick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Kay Fick's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

ESSEX NATIONAL SECURITIES, LLC

DETWILER FENTON WEALTH MANAGEMENT INC

THE ADVISORS GROUP, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FINANCIAL LIFE PLANNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 5/5/2003

Series 65

Date: 6/28/1995

Series 63

Date: 4/1/1987

Series 7

Date: 3/21/1987

Current Firm

FINANCIAL LIFE PLANNERS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL LIFE PLANNERS

TRUST BUT VERIFY

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