Cynthia L. Van Heyde
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 Leigh Van Heyde, who also goes by Cynthia Leigh Wolfe Van Heyde, Cynthia Leigh Wolfe, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 2000. Cynthia had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2015 - December 21, 2017
CETERA INVESTMENT ADVISERS LLC
June 3, 2015 - December 21, 2017
CETERA INVESTMENT SERVICES LLC
September 22, 2009 - February 24, 2015
MORGAN STANLEY
September 22, 2009 - February 24, 2015
MORGAN STANLEY
February 5, 2003 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 20, 2000 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
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