Lucinda H. Alden

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CRD#: 4347985

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.

Lucinda H Alden, who also goes by Lucinda Louise Hill, Lucinda L Simmons, was a registered financial professional .

Lucinda is a previously registered financial professional and started their career in finance in 1997. Lucinda had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lucinda Louise Hill | Lucinda L Simmons

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. FIRST COMMUNITY BANK, 119 S. FULTON ST. NEWELL, IA 50568, INVESTMENT-RELATED, TAX RETURNS AND INSURANCE SERVICES, CHAIRMAN OF BOARD OF DIRECTORS, 5 HOURS/WEEK 2. NEWELL BANCSHARES, CORPORATION, START: 2009, NEWELL, IA 50568, HOLDING COMPANY/CHAIRMAN OF THE BOARD PRESIDENT, NOT INVESTMENT-RELATED, OFFICER OF BOARD OF DIRECTORS, 10 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 3. HILL TRUST, NEWELL, START: 2009, IA 50568, TRUSTEE/OWNS STOCK & REAL ESTATE, NOT-INVESTMENT RELATED, 0 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 4. JULIE A HILL IRREVOCABLE TRUST; 365 CASALON PLACE SUPERIOR, CO 80027; START: 2003, NOT-INVESTMENT RELATED; SOLE TRUSTEE; 0 HOURS/WEEK 5. LUCINDA L HILL IRREVOCABLE TRUST; 365 CASALON PLACE SUPERIOR, CO 80027, START: 2003, TRUSTEE, NOT-INVESTMENT RELATED, 0 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 6. ENTHUS, LLC, 365 CASALON PLACE SUPERIOR, CO 80027; START: 08/2013, APARTMENT BUILDING OWNER/MANAGER, NOT INVESTMENT RELATED, 5 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 7. HILL LANDS ESTATE, LLC, START: 2012, 109 N. MARSHALL ST. WILLOWS, CA 95988, MANAGER, NOT INVESTMENT RELATED, 5 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 8. LUCINDA HILL ALDEN EXEMPT TRUST (UNDER GILBERT HILL DESCENDANT'S TRUST), START: 2012, 365 CASALON PLACE SUPERIOR, CO 80027, OWNS BANK STOCK/TRUSTEE, NOT INVESTMENT RELATED, 0 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 9. TIMOTHY HILL SPECIAL NEEDS TRUST, START: 2009, 365 CASALON PLACE SUPERIOR, CO 80027, OWNS HOUSE/STOCKS/TRUSTEE, NOT INVESTMENT RELATED, 0 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 10. TIMOTHY HILL EXEMPT TRUST, START: 2018, 365 CASALON PLACE SUPERIOR, CO 80027, TURST/TRUSTEE, NOT INVESTMENT RELATED, 0 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 11. LUCINDA HILL ALDEN EXEMPT TRUST CU GILBERT AND ROBERTA HILL FAMILY TRUST, START: 2018, 365 CASALON PLACE, SUPERIOR, CO 80027, REAL ESTATE/STOCKS/NOT INVESTMENT RELATED; O HOURS /MONTH, 0 HOURS/ DURING TRADING HOURS.

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®

None

Experience

Past

February 16, 2021 - February 14, 2025

ILLUMINE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 311661

SUPERIOR, CO

Past

April 1, 2016 - May 17, 2021

CS PLANNING CORP

RIA

CRD#: 149937

Los Angeles, CA

Past

March 8, 2012 - May 10, 2017

MUTUAL SECURITIES, INC.

CRD#: 13092

Los Angeles, CA

Past

January 14, 2011 - April 4, 2016

BEVERLY HILLS WEALTH MANAGEMENT, LLC

RIA

CRD#: 152031

BEVERLY HILLS, CA

Past

September 13, 2010 - March 9, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

BEVERLY HILLS, CA

Past

June 24, 2005 - September 7, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CENTURY CITY, CA

Past

June 24, 2005 - September 7, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CENTURY CITY, CA

Past

March 1, 2001 - July 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 8, 1997 - July 1, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WHITTIER, CA

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".

ILLUMINE INVESTMENT MANAGEMENT, LLC

CRD#: 311661 / SEC#: 801-120043

RIA

Registered Investment Advisory firm - (1/8/2021 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

Series 63

Date: 3/14/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/7/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 5/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/28/2001

General Securities Representative Examination

Current Firm

ILLUMINE INVESTMENT MANAGEMENT, LLC

CRD#: 311661 / SEC#: 801-120043

RIA

Registered Investment Advisory firm - (1/8/2021 Approved)

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Contact information

Main Address

19225 8th Ave Ne Suite 201-0902, Poulsbo, WA 98370

Mailing Address

Phone number

(424) 322-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE 2025 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	302
AUM (Assets Under Management)	$ 210,817,667

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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Lucinda H. Alden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CS PLANNING CORP

MUTUAL SECURITIES, INC.

BEVERLY HILLS WEALTH MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ILLUMINE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/14/2001

Series 65

Date: 3/7/2001

SIE

Date: 5/10/2017

Series 7

Date: 2/28/2001

Current Firm

ILLUMINE INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ILLUMINE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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