CA
Cindy E. Alexander
CETERA INVESTMENT ADVISERS LLC
VIENNA, VA 22182
Some features on this profile are disabled
CRD#: 3220873
CA
Professional summary
Cindy Elizabeth Alexander, who also goes by Cindy E Shaw, Cindy Elizabeth Shaw, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Vienna, Virginia and CETERA WEALTH SERVICES, LLC located in Vienna, Virginia.
Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Cindy has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cindy E Shaw | Cindy Elizabeth Shaw
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. Name of other business: VLP Financial Advisors
Investment related: Yes
Address: Same as Registered Location
Nature of business: financial services
Start date: 08/2016
Apx number of hours per week: 40
Apx number of hours during trading hours: 40
Brief description of duties: registered administrative assistant
2. NAME OF OTHER BUSINESS: NOTARY PUBLIC;
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: NOTARY SERVICES / IDENTITY VERIFICATION;
START DATE: 03/2017;
POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC;
APX NUMBER OF HOURS PER WEEK: LESS THAN LESS THAN 1;
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1;
BRIEF DESCRIPTION OF DUTIES: CONFIRM IDENTITY OF PERSON WHO'S SIGNATURE IS BEING NOTARIZED;
3. NAME OF OTHER BUSINESS: POWER OF ATTORNEY FOR PAUL SHAW:
INVESTMENT RELATED: NO;
ADDRESS: 10970 HARPERS SQUARE CT RESTON VA 20191;
NATURE OF BUSINESS: POWER OF ATTORNEY;
START DATE: 2/2018;
POSITION/TITLE/RELATIONSHIP: POWER OF ATTORNEY;
APX NUMBER OF HOURS PER WEEK: VARIES;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR PERSONAL, BUSINESS, AND PROPERTY TRANSACTIONS;
CRS (Client Relationship Summary) - RIA
Click below to view Cindy Elizabeth Alexander'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8391 Old Courthouse Rd Ste 203, Vienna, VA 22182RIA
CRD#: 105644
VIENNA, VA
Current
September 2, 2016 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8391 Old Courthouse Rd Ste 203, Vienna, VA 22182Office #2: 301 N Elm St #301, Greensboro, NC 27401BD
CRD#: 13572
Vienna, VA
Past
April 11, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 13, 2001 - June 26, 2007
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
August 17, 1999 - December 7, 1999
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/12/2025)
RR
California(9/9/2025)
RR
Colorado(7/23/2024)
RR
Maryland(6/27/2023)
RR
New Jersey(4/17/2024)
RR
New York(8/19/2025)
RR
North Carolina(6/27/2023)
RR
Utah(6/26/2025)
RR
Virginia(4/13/2018)
IAR
Virginia(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
