Cyndi F. Kay

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CRD#: 2407171

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.

Cyndi Friend Kay, CFP®, who also goes by Cyndi Kay Birkholz, Cyndi Kay Friend, was a registered financial professional .

Cyndi is a previously registered financial professional and started their career in finance in 1993. Cyndi had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

What are your service offerings?

Investment Planning

Insurance Planning

Education Planning

Estate Planning

Employee and Employer Plan Ben...

Comprehensive Financial Planni...

Retirement Planning

Are you a "fiduciary"?

Aliases

Cyndi Kay Birkholz | Cyndi Kay Friend

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Past

October 9, 2008 - January 2, 2026

D.A. DAVIDSON & CO.

RIA

CRD#: 199

BOISE, ID

Past

October 9, 2008 - January 2, 2026

D.A. DAVIDSON & CO.

CRD#: 199

BOISE, ID

Past

October 28, 1999 - October 17, 2008

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

BOISE, ID

Past

September 10, 1999 - October 17, 2008

RBC CAPITAL MARKETS, LLC

CRD#: 31194

BOISE, ID

Past

November 3, 1993 - September 14, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

D.A. DAVIDSON & CO.

CROWELL, WEEDON & CO., A DIVISION OF D.A. DAVIDSON & CO. | D.A. DAVIDSON & CO. | D. A. DAVIDSON & CO. INCORPORATED

CRD#: 199 / SEC#: 801-45761, 8-2399

RIA

Registered Investment Advisory firm - SEC (2/8/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/6/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/1/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/2/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 2/14/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 2/7/2005

General Securities Sales Supervisor - General Module Examination

Current Firm

D.A. DAVIDSON & CO.

CROWELL, WEEDON & CO., A DIVISION OF D.A. DAVIDSON & CO. | D.A. DAVIDSON & CO. | D. A. DAVIDSON & CO. INCORPORATED

CRD#: 199 / SEC#: 801-45761, 8-2399

RIA

Registered Investment Advisory firm - SEC (2/8/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

8 Third Street North, Great Falls, MT 59401

Mailing Address

P.o. Box 5015, Great Falls, MT 59403-5015

Phone number

(406) 727-4200

Established

Montana since 05/01/1935

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

990

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

D.A. DAVIDSON & CO. WRAP FEE PROGRAM BROCHURE (12/19/2025)

D.A. DAVIDSON FIRM BROCHURE - EQUITY RESEARCH SERVICES (12/19/2025)

D.A. DAVIDSON FIRM BROCHURE (12/19/2025)

Direct owners and executive officers

Name	Position	CRD#
D.A. DAVIDSON COMPANIES	HOLDING COMPANY
BEAUPREZ, JACQUELINE ANN	SVP, GENERAL COUNSEL	4075012
CRONK, JAMES LEE	PRINCIPAL OPERATIONS OFFICER	1104799
DISPENSE, MARC RUSSELL	PRESIDENT, FIXED INCOME CAPITAL MARKETS	4655410
MARTINEZ, LAWRENCE TODD	CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR	4596308
MCCUBBIN, JARED C	SVP, CHIEF COMPLIANCE OFFICER	4969077
MCKINNEY, RORY ADAM	PRESIDENT, EQUITY CAPITAL MARKETS	4735577
PURPURA, MICHAEL JOSEPH	PRESIDENT, WEALTH MANAGEMENT, DIRECTOR	2095576
ZADICK, JUSTINE MILNE	PRINCIPAL FINANCIAL OFFICER	6452559

Regulatory assets under management

Total Number of Accounts	92,146
AUM (Assets Under Management)	$ 41,839,245,699

Disclosures

Regulatory Event	41
Arbitration	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/13/2025	Cover Page	Report
09/27/2024	Cover Page	Report
11/13/2023	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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Cyndi F. Kay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

D.A. DAVIDSON & CO.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

D.A. DAVIDSON & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/1993

Series 63

Date: 11/6/1993

SIE

Date: 10/1/2018

Series 31

Date: 3/1/2004

Series 7

Date: 11/2/1993

Series 9

Date: 2/14/2005

Series 10

Date: 2/7/2005

Current Firm

D.A. DAVIDSON & CO.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

D.A. DAVIDSON & CO.

TRUST BUT VERIFY

Contact information

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