Cynthia Montgomery
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 Montgomery, CFP®, who also goes by Cyndy Montgomery, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1998. Cynthia had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2000
Experience
October 16, 2020 - January 31, 2024
STRATA WEALTH ADVISORS, LLC
August 31, 1998 - October 19, 2020
OSAIC FA, INC.
August 20, 1998 - April 6, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 20, 1998 - October 19, 2020
OSAIC FA, INC.
Primary Firm SEC Registration
STRATA WEALTH ADVISORS, LLC
CRD#: 285973 / SEC#: 801-110369
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
STRATA WEALTH ADVISORS, LLC
CRD#: 285973 / SEC#: 801-110369
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,133 |
| AUM (Assets Under Management) | $ 927,332,469 |
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.
