Cynthia W. La Rue
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cynthia Winn La Rue, who also goes by Cynthia Winn Larue, Cynthia Winn Zeledon, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1988. Cynthia had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2016 - August 12, 2016
SOL CAPITAL MANAGEMENT CO
August 2, 2006 - March 5, 2008
B. RILEY SECURITIES, INC.
February 5, 2002 - July 27, 2006
T. ROWE PRICE INVESTMENT SERVICES, INC.
January 12, 1995 - May 23, 2001
INVESCO CAPITAL MARKETS, INC.
May 15, 1991 - January 12, 1995
AMERICAN CAPITAL MARKETING, INC.
October 6, 1988 - September 7, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 1988 - March 12, 1988
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
SOL CAPITAL MANAGEMENT CO
CRD#: 110226 / SEC#: 801-29829
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SOL CAPITAL MANAGEMENT CO
CRD#: 110226 / SEC#: 801-29829
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,105 |
| AUM (Assets Under Management) | $ 2,980,106,350 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/12/2025 | ||
| 09/09/2024 | ||
| 04/09/2024 | ||
| 10/20/2022 |
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.
