CYNTHIA K. SLATER
DSG CAPITAL ADVISORS | Director | Client Engagement
EDINA, MN 55435
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CRD#: 1705663
Professional summary
CYNTHIA KAY SLATER, who also goes by Cynthia Kay Thompson, is a registered financial advisor currently at DSG CAPITAL ADVISORS, LLC located in Edina, Minnesota.
CYNTHIA is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. CYNTHIA has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Biography
Cynthia Slater leads Client Engagement at DSG Advisors. She has spent the majority of her career in the financial services industry working with a diverse constituency of clients. Whether an individual or an institution, Cynthia enjoys getting to know clients and building enduring relationships. As a trusted advisor, she values collaboration to help her provide service and advice tailored to clients' distinct needs and goals.
Prior to DSG Advisors, Cynthia was the director of business development at Rothschild Capital Partners (RCP), an investment management firm with offices in New York and Baltimore. At RCP, she created a strategic plan and budget, marketing RCP's investment products to foundations, endowments and investment consultants, as well as building brand recognition.
Cynthia began her career at Piper Jaffray & Co as an Institutional Equity Trader, where she developed and managed long-term relationships with traders and analysts at nationally-recognized mutual and hedge funds. As part of Piper's Equity Capital Markets group, Cynthia worked to increase Piper's institutional revenue while collaborating with sales teams and trading.
Cynthia holds a Bachelor of the Arts in economics from the University of Minnesota.
She has volunteered for The Gathering, a program for those experiencing memory loss. Additionally, Cynthia works with the Minneapolis Public Schools system as a tutor, volunteer and active fundraiser.
Cynthia lives in Southwest Minneapolis with her husband and three teenagers. When not carpooling and attending her kids' sporting events, she enjoys golfing, reading, walking her dog and traveling to warm-weather destinations.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cynthia Kay Thompson
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 CYNTHIA KAY SLATER'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
August 21, 2024 - Present
DSG CAPITAL ADVISORS, LLC
Office #1: 7760 France Avenue South Suite 815, Edina, MN 55435RIA
CRD#: 332056
EDINA, MN
Past
October 1, 2018 - August 16, 2024
HIGHTOWER SECURITIES, LLC
BD
CRD#: 116681
Minneapolis, MN
Past
March 27, 2017 - August 16, 2024
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
Edina, MN
Past
July 25, 1988 - December 10, 1997
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
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".
DC
DSG CAPITAL ADVISORS, LLC
DSG ADVISORS | HIGHLAND HOLDINGS, LLC | DSG CAPITAL ADVISORS, LLC
CRD#: 332056 / SEC#: 801-130879
RIA
Registered Investment Advisory firm - (8/8/2024 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
Minnesota(8/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DC
DSG CAPITAL ADVISORS, LLC
DSG ADVISORS | HIGHLAND HOLDINGS, LLC | DSG CAPITAL ADVISORS, LLC
CRD#: 332056 / SEC#: 801-130879
RIA
Registered Investment Advisory firm - (8/8/2024 Approved)PREMIUM
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Contact information
Main Address
7760 France Avenue South Suite 815, Edina, MN 55435
Mailing Address
Phone number
(612) 515-9900
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 493 |
| AUM (Assets Under Management) | $ 683,836,020 |
Red Flags
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Company Information
DSG CAPITAL ADVISORS, LLC
Director | Client EngagementCRD#: 332056Edina, MN 55435TRUST BUT VERIFY
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