CY
Cathy E. Yance
STRATEGIC ADVISERS
NEW CANAAN, CT
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CRD#: 1653321
CY
Professional summary
Cathy Elizabeth Yance, who also goes by Cathy Yance Finn, Cathy Yance Yance, Cathy Yance, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in New Canaan, Connecticut and FIDELITY BROKERAGE SERVICES LLC located in Fairfield, Connecticut.
Cathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Cathy has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 72 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cathy Yance Finn | Cathy Yance Yance | Cathy Yance
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Cathy Elizabeth Yance'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
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 1261 Post Road, Fairfield, CT 06824-6072RIA
CRD#: 104555
NEW CANAAN, CT
Current
September 25, 2018 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1261 Post Road, Fairfield, CT 06824BD
CRD#: 7784
Fairfield, CT
Past
December 18, 2019 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
STAMFORD, CT
Past
January 8, 2018 - July 20, 2018
MAREX CAPITAL MARKETS INC.
BD
CRD#: 161014
NEW YORK, NY
Past
August 8, 2005 - November 6, 2006
MANORHAVEN CAPITAL LLC
BD
CRD#: 44965
WATERSIDE-STAMFORD, CT
Past
August 21, 2000 - November 6, 2003
VCROSS CAPITAL MARKETS LLC
BD
CRD#: 40949
GREENWICH, CT
Past
March 7, 2000 - August 18, 2000
DABBAH SECURITIES CORP.
BD
CRD#: 26576
WESTHAMPTON, NY
Past
September 28, 1995 - December 12, 1997
ARJENT LTD.
BD
CRD#: 35909
NEW YORK, NY
Past
January 3, 1995 - March 17, 1995
SBC WARBURG, INC.
BD
CRD#: 23745
NEW YORK, NY
Past
October 1, 1993 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
BD
CRD#: 4341
NEW YORK, NY
Past
August 20, 1993 - October 1, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
March 21, 1991 - July 7, 1993
CRT GOVERNMENT SECURITIES, LTD.
BD
CRD#: 19774
Past
June 13, 1989 - November 5, 1990
FAIRFIELD RESEARCH SECURITIES CORPORATION
BD
CRD#: 19744
NEW CANAAN, CT
Past
June 23, 1987 - June 20, 1989
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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.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
Alabama(10/16/2019)
RR
Alaska(10/16/2019)
RR
Arizona(10/16/2019)
RR
Arkansas(10/16/2019)
RR
California(10/16/2019)
RR
Colorado(10/16/2019)
RR
Connecticut(9/25/2018)
IAR
Connecticut(3/31/2025)
RR
Delaware(10/16/2019)
RR
District of Columbia(10/16/2019)
RR
Florida(9/25/2018)
RR
Georgia(10/16/2019)
RR
Hawaii(10/16/2019)
RR
Idaho(10/16/2019)
RR
Illinois(10/16/2019)
RR
Indiana(10/16/2019)
RR
Iowa(10/16/2019)
RR
Kansas(10/16/2019)
RR
Kentucky(10/16/2019)
RR
Louisiana(10/16/2019)
RR
Maine(10/16/2019)
RR
Maryland(10/16/2019)
RR
Massachusetts(9/25/2018)
RR
Michigan(10/16/2019)
RR
Minnesota(10/16/2019)
RR
Mississippi(10/16/2019)
RR
Missouri(10/16/2019)
RR
Montana(10/16/2019)
RR
Nebraska(10/16/2019)
RR
Nevada(10/16/2019)
RR
New Hampshire(10/16/2019)
RR
New Jersey(9/25/2018)
RR
New Mexico(10/16/2019)
RR
New York(9/25/2018)
RR
North Carolina(10/16/2019)
RR
North Dakota(10/16/2019)
RR
Ohio(10/17/2019)
RR
Oklahoma(10/16/2019)
RR
Oregon(10/16/2019)
RR
Pennsylvania(10/16/2019)
RR
Puerto Rico(10/16/2019)
RR
Rhode Island(10/16/2019)
RR
South Carolina(10/16/2019)
RR
South Dakota(10/16/2019)
RR
Tennessee(10/16/2019)
RR
Texas(10/16/2019)
IAR
Texas(3/31/2025)
RR
Utah(10/16/2019)
RR
Vermont(10/16/2019)
RR
Virgin Islands(10/16/2019)
RR
Virginia(10/16/2019)
RR
Washington(10/16/2019)
RR
West Virginia(10/16/2019)
RR
Wisconsin(10/16/2019)
RR
Wyoming(10/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 72
Date: 1/8/2018
Government Securities Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)PREMIUM
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
