CH
Cy T. Hess
THE PATRIOT FINANCIAL GROUP
West Hartford, CT 06107
Some features on this profile are disabled
CRD#: 4614655
CH
Professional summary
Cy Thomas Hess, who also goes by Cy Hess, is a registered financial advisor currently at THE PATRIOT FINANCIAL GROUP, LLC located in West Hartford, Connecticut and CETERA INVESTMENT ADVISERS LLC located in West Hartford, Connecticut.
Cy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Cy has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cy Hess
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.WEST HARTFORD YOUTH BASEBALL, NOT INVESTMENT RELATED, WEST HARTFORD, CT, PRESIDENT, OVERSEE THE LEAGUE, 10H/WEEK, SINCE 01/2022. 2.COMMUNITY HEALTH RESOURCES, NOT INVESTMENT RELATED, WINDSOR, CT, BOARD CHAIR, CHAIRMAN OF THE BOARD, 2H/WEEK, SINCE 07/2022 3.THE PATRIOT FINANCIAL GROUP, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SEC REGISTERED INVESTMENT ADVISER, INVESTMENT ADVISER REPRESENTATIVE, ADVISORY BUSINESS, 40H/WEEK, SINCE 10/2018 4.RIVERSIDE RETIREMENT ADVISORS, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, FOUNDING PARTNER, ADVISORY BUSINESS, 10/2018 5. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: 233 SHADY TREE LN, FAYSTON, VT 05673; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: HOME OWNER; APX NUMBER OF HOURS PER WEEK: <1; APX NUMBER OF HOURS DURING TRADING HOURS: <1; BRIEF DESCRIPTION OF DUTIES: RENT VACATION PROPERTY PART TIME;
CRS (Client Relationship Summary) - RIA
Click below to view Cy Thomas Hess'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
October 24, 2018 - Present
THE PATRIOT FINANCIAL GROUP, LLC
Office #1: 15 North Main Street Suite 101, West Hartford, CT 06107RIA
CRD#: 172470
West Hartford, CT
Current
February 24, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 15 N Main St Ste 101, West Hartford, CT 06107RIA
CRD#: 105644
WEST HARTFORD, CT
Current
December 15, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 15 N Main St Ste 101, West Hartford, CT 06107BD
CRD#: 10358
WEST HARTFORD, CT
Past
October 22, 2018 - December 15, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WEST HARTFORD, CT
Past
June 25, 2013 - October 24, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WEST HARTFORD, CT
Past
May 21, 2013 - October 24, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WEST HARTFORD, CT
Past
October 7, 2010 - May 17, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
HARTFORD, CT
Past
April 13, 2007 - September 15, 2010
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
SIMSBURY, CT
Past
June 4, 2003 - May 4, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HARTFORD, CT
Past
February 11, 2003 - May 4, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
California(12/15/2022)
IAR
Connecticut(10/24/2018)
RR
Connecticut(12/15/2022)
RR
Florida(12/15/2022)
RR
Maine(12/15/2022)
RR
Massachusetts(12/15/2022)
RR
Michigan(12/15/2022)
RR
Rhode Island(12/15/2022)
RR
Texas(12/15/2022)
IAR
Texas(2/24/2023)
RR
Utah(12/15/2022)
RR
Virginia(12/15/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
