Cynthia L. Dalton
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 Lee Dalton, who also goes by Cynthia Lee Carbajal, Cynthia Lee Carbajal-dalton, Cynthia Lee Carbajal-peru, Cynthia Lee Peru, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 2000. Cynthia had worked at 7 firms and has passed the Series 66, 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
Experience
March 30, 2020 - December 31, 2020
HIGH SIERRA WEALTH MANAGEMENT
May 3, 2018 - December 31, 2019
HIGH SIERRA WEALTH MANAGEMENT
January 29, 2015 - November 9, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 27, 2015 - November 9, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 4, 2006 - April 22, 2013
LPL FINANCIAL LLC
January 19, 2006 - April 22, 2013
LPL FINANCIAL LLC
October 9, 2003 - December 12, 2003
CITICORP INVESTMENT SERVICES
July 2, 2003 - September 22, 2003
STATE FARM VP MANAGEMENT CORP.
September 4, 2001 - October 7, 2002
EDWARD JONES
November 15, 2000 - July 30, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
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
HIGH SIERRA WEALTH MANAGEMENT
CRD#: 284195 / SEC#:
Contact information
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.
