AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
Cynthia Wallace Duncan

Cynthia W. Duncan

SUMMITRY | Senior Financial Advisor
Foster City, CA 94404
Some features on this profile are disabled
CRD#: 2289370
Cynthia Wallace Duncan

Professional summary

Cynthia Wallace Duncan, who also goes by Cindy Wallace, Cynthia Diane Wallace, Cynthia Wallace, is a registered financial advisor currently at SUMMITRY, LLC located in Foster City, California.

Cynthia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Cynthia has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 2 and Series 8 exams.

Question & Answer

What are your service offerings?
Trading individual securities
Philanthropic services
Financial planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes

Aliases

Cindy Wallace | Cynthia Diane Wallace | Cynthia Wallace

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 Wallace Duncan'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

December 3, 2015 - Present

SUMMITRY, LLC

Office #1: 919 Hillsdale Blvd. Suite 150, Foster City, CA 94404
RIA
CRD#: 128586
Foster City, CA
Past

November 30, 2004 - June 3, 2005

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

July 8, 1997 - October 19, 2004

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
LOS GATOS, CA
Past

February 5, 1994 - October 19, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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".
SL
SUMMITRY, LLC
GOLUB GROUP INC | THE GOLUB GROUP | SUMMITRY, LLC | GOLUB GROUP, LLC

CRD#: 128586 / SEC#: 801-62398

RIA
Registered Investment Advisory firm - (9/26/2003 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
California
(3/24/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/24/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/20/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/4/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 10/9/1992
Non-Member General Securities Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/31/1998
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SL
SUMMITRY, LLC
GOLUB GROUP INC | THE GOLUB GROUP | SUMMITRY, LLC | GOLUB GROUP, LLC

CRD#: 128586 / SEC#: 801-62398

RIA
Registered Investment Advisory firm - (9/26/2003 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
919 Hillsdale Blvd. Suite 150, Foster City, CA 94404
Mailing Address
Phone number
(650) 212-2240
Established
Firm type
Fiscal year end
# of Employees
43

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts3,384
AUM (Assets Under Management)$ 3,008,628,872

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.

Company Information

SUMMITRY, LLC

Senior Financial AdvisorCRD#: 128586Foster City, CA 94404

TRUST BUT VERIFY

Monitor Cynthia Duncan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

Similar Advisors

Ashkahn Moayedi
Ashkahn MoayediAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
IAR
RR
DANVILLE, CA
AG
Adam GreenAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
SAN MATEO, CA
MS
Maximilian SoaresAdvisorCheck Check Mark
CHARLES SCHWAB & CO., INC.
RR
Upland, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.