Cynthia A. Teti

Some features on this profile are disabled

CRD#: 4701724

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 Ann Teti, who also goes by Cindy Teti, was a registered financial professional .

Cynthia is a previously registered financial professional and started their career in finance in 2008. Cynthia had worked at 6 firms and has passed the Series 63, Series 65, Series 22 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cindy Teti

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®

None

Experience

Past

January 19, 2016 - March 18, 2019

CAPITAL BANK AND TRUST COMPANY

RIA

CRD#: 170017

IRVINE, CA

Past

June 20, 2014 - January 19, 2016

CAPITAL GUARDIAN TRUST COMPANY

RIA

CRD#: 108236

LOS ANGELES, CA

Past

January 29, 2013 - June 20, 2014

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

LOS ANGELES, CA

Past

January 3, 2013 - June 20, 2014

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

SAN FRANCISCO, CA

Past

June 22, 2011 - February 1, 2013

LUMINOUS CAPITAL, LLC

RIA

CRD#: 145566

LOS ANGELES, CA

Past

December 15, 2008 - June 24, 2014

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 104599

LOS ANGELES, 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".

CAPITAL BANK AND TRUST COMPANY

CRD#: 170017 / SEC#: 801-79234

RIA

Registered Investment Advisory firm - (2/26/2014 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: 1/10/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/14/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 22

Date: 1/28/2013

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 3

Date: 12/13/2012

National Commodity Futures Examination

Current Firm

CAPITAL BANK AND TRUST COMPANY

CRD#: 170017 / SEC#: 801-79234

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6455 Irvine Center Drive, Irvine, CA 92618-4518

Mailing Address

Phone number

(949) 975-5000

Established

Firm type

Fiscal year end

# of Employees

121

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CBT ADV PART 2A (9/26/2025)

Regulatory assets under management

Total Number of Accounts	579
AUM (Assets Under Management)	$ 139,294,588,096

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2024	Cover Page	Report
07/28/2023	Cover Page	Report
10/26/2022	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Cynthia A. Teti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL GUARDIAN TRUST COMPANY

FIRST REPUBLIC SECURITIES COMPANY, LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

LUMINOUS CAPITAL, LLC

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

Primary Firm SEC Registration

CAPITAL BANK AND TRUST COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 1/10/2013

Series 65

Date: 12/14/2008

Series 22

Date: 1/28/2013

Series 3

Date: 12/13/2012

Current Firm

CAPITAL BANK AND TRUST COMPANY

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL BANK AND TRUST COMPANY

TRUST BUT VERIFY

Similar Advisors