Cynthia M. Aschbacher

MENGIS CAPITAL MANAGEMENT

Portland, OR 97204

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CRD#: 1676713

Professional summary

Cynthia Marie Aschbacher, who also goes by Cindy Aschbacher, Cindy Notos, Cynthia Marie Notos, is a registered financial advisor currently at MENGIS CAPITAL MANAGEMENT, INC. located in Portland, Oregon.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cindy Aschbacher | Cindy Notos | Cynthia Marie Notos

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Marie Aschbacher'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

August 27, 2009 - Present

MENGIS CAPITAL MANAGEMENT, INC.

Office #1: One Sw Columbia Suite 780, Portland, OR 97204

RIA

CRD#: 117127

Portland, OR

Past

November 4, 2002 - July 6, 2007

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

PORTLAND, OR

Past

March 9, 2002 - July 6, 2007

RBC CAPITAL MARKETS, LLC

CRD#: 31194

PORTLAND, OR

Past

February 1, 1999 - March 9, 2002

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

April 11, 1997 - February 8, 1999

CHARTER INVESTMENT GROUP, INC.

CRD#: 42506

PORTLAND, OR

Past

January 16, 1996 - April 9, 1997

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

October 22, 1994 - April 4, 1996

CHARTER INVESTMENT GROUP, INC.

CRD#: 7410

PORTLAND, OR

Past

May 10, 1990 - October 13, 1994

U.S. BANCORP SECURITIES

CRD#: 17439

PORTLAND, OR

Past

May 21, 1987 - May 25, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

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".

MENGIS CAPITAL MANAGEMENT, INC.

CRD#: 117127 / SEC#: 801-60688

RIA

Registered Investment Advisory firm - (11/9/2001 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

Oregon
(8/27/2009)

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 65

Date: 10/24/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Current Firm

MENGIS CAPITAL MANAGEMENT, INC.

CRD#: 117127 / SEC#: 801-60688

RIA

Registered Investment Advisory firm - (11/9/2001 Approved)

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Contact information

Main Address

One Sw Columbia Suite 780, Portland, OR 97204

Mailing Address

Phone number

(503) 916-0776

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	688
AUM (Assets Under Management)	$ 899,074,796

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2024	Cover Page	Report
11/27/2023	Cover Page	Report
07/14/2022	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

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Cynthia M. Aschbacher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia Marie Aschbacher's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

SUTRO & CO. INCORPORATED

CHARTER INVESTMENT GROUP, INC.

SUTRO & CO. INCORPORATED

CHARTER INVESTMENT GROUP, INC.

U.S. BANCORP SECURITIES

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

MENGIS CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/24/2001

Series 63

Date: 6/27/1995

Series 7

Date: 5/16/1987

Current Firm

MENGIS CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MENGIS CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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