Cynthia L. Wrick

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CRD#: 4119571

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 Louise Wrick, CFP®, who also goes by Cynthia L Clark, Cynthia Louise Clark, Cindy Wrick, was a registered financial professional .

Cynthia is a previously registered financial professional and started their career in finance in 2000. Cynthia had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cynthia L Clark | Cynthia Louise Clark | Cindy Wrick

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

Experience

Past

July 29, 2021 - August 15, 2024

FACET

RIA

CRD#: 285961

Sarasota, FL

Past

December 3, 2020 - April 9, 2021

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

Sarasota, FL

Past

December 2, 2020 - April 9, 2021

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

Sarasota, FL

Past

April 14, 2017 - November 5, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

SARASOTA, FL

Past

April 13, 2017 - November 5, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

SARASOTA, FL

Past

February 22, 2005 - January 10, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTWOOD, MA

Past

August 30, 2004 - January 6, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTWOOD, MA

Past

September 11, 2002 - August 3, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

October 19, 2001 - June 17, 2002

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

February 17, 2000 - October 19, 2001

DEAM INVESTOR SERVICES, INC.

CRD#: 754

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".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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 66

Date: 10/18/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/7/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/16/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/30/2010

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/29/2010

General Securities Sales Supervisor - Options Module Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

400 East Pratt Street 8th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

174

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	36,817
AUM (Assets Under Management)	$ 4,754,146,771

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	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.

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Advisor Monitoring

Firm Stability Insights

Cynthia L. Wrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

A. G. EDWARDS & SONS, INC.

DWS DISTRIBUTORS, INC.

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2004

Series 63

Date: 3/16/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/7/2001

Series 6

Date: 2/16/2000

Series 10

Date: 8/30/2010

Series 9

Date: 3/29/2010

Current Firm

FACET

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FACET

TRUST BUT VERIFY

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