Cynthia B. Walsh

WALSH ADVISORS

Crown Point, IN 46307

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CRD#: 1987510

Professional summary

Cynthia B Walsh, who also goes by Cynthia Louise Berner, Cynthia Louise Sanders, is a registered financial advisor currently at WALSH ADVISORS located in Crown Point, Indiana.

Cynthia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Cynthia has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cynthia Louise Berner | Cynthia Louise Sanders

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. BOARD MEMBER OF CROWN POINT COMMUNITY FOUNDATION, NON-INVESTMENT, 8 HOURS/MONTH SPENT AS VOLUNTEER BOARD MEMBER. 2. BOARD MEMBER OF LENDINGONE, NON-INVESTMENT, 8 HOURS/MONTH SPENT AS A BOARD MEMBER. 3.BOARD MEMBER OF ENCORE FINANCE, NON-INVESTMENT, 8 HOURS/MONTH SPENT AS A BOARD MEMBER. 4. DEPAUL UNIVERSITY, NON-INVESTMENT, 2400 N SHEFFIELD AVE, CHICAGO, IL 60614, ACADEMIC; ADJUNCT INSTRUCTOR, 2020, 10 HOURS PER WEEK, NO HOURS SPENT DURING TRADING HOURS, SERVE AS ACADEMIC ADVISOR AND INSTRUCTION IN MASTERS OF DATA SCIENCE PROGRAM 5.BOARD MEMBER OF CHIMERA INVESTMENT CORPORATION (NYSE:CIM), NON-INVESTMENT, REAL ESTATE INVESTMENT TRUST, 12 HOURS/MONTH SPENT AS A BOARD MEMBER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia B Walsh'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®

None

Experience

Current

January 22, 2003 - Present

WALSH ADVISORS

Office #1: 503 E. Summit Street Suite 1b, Crown Point, IN 46307

RIA

CRD#: 122628

Crown Point, IN

Past

January 2, 2009 - July 1, 2015

PODESTA & CO.

CRD#: 13140

CHICAGO, IL

Past

July 6, 1990 - January 22, 1991

CONTINENTAL GLOBAL FINANCIAL CORPORATION

CRD#: 23959

Past

April 24, 1990 - May 8, 1990

FIRST OPTIONS OF CHICAGO, INC.

CRD#: 13822

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

Indiana
(1/22/2003)

IAR

Michigan
(6/17/2021)

IAR

Texas
(1/31/2018)

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

Series 63

Date: 4/8/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/2/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/2008

General Securities Representative Examination

Current Firm

WALSH ADVISORS

WALSH ADVISORS | WALSH FINANCIAL SERVICES, INC. | WALSH FINANCIAL SERVICES | WALSH ADVISORS INC.

CRD#: 122628 / SEC#:

Indiana

Registered Investment Advisory firm - (7/30/2001 Approved)

Michigan

Registered Investment Advisory firm - (6/17/2021 Approved)

Texas

Registered Investment Advisory firm - (1/31/2018 Conditional Restricted)

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Contact information

Main Address

503 E. Summit Street Suite 1b, Crown Point, IN 46307

Mailing Address

Phone number

(219) 669-0744

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	126
AUM (Assets Under Management)	$ 73,495,609

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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Cynthia B. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cynthia B Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALSH ADVISORS

PODESTA & CO.

CONTINENTAL GLOBAL FINANCIAL CORPORATION

FIRST OPTIONS OF CHICAGO, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/8/2009

Series 65

Date: 7/2/2001

SIE

Date: 7/1/2015

Series 7

Date: 10/15/2008

Current Firm

WALSH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WALSH ADVISORS

TRUST BUT VERIFY

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