CC
Cynthia G. Colin
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CRD#: 50923
CC
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 Green Colin, who also goes by Cynthia Green Zeisler, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1971. Cynthia had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 5, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cynthia Green Zeisler
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.
TRUSTEE FOR FATHER'S TRUST, INV RELATED, NEW YORK, NY, START: 10/1968, 2 HRS/MONTH, 0 HRS DURING TRADING; NOMINEE TRUSTEE FOR FAMILY MEMBERS, INV RELATED, NEW YORK, NY, START: 11/01/2012, 10 HRS/MONTH, 0 HRS DURING TRADING.; JALOC ASSOCIATES, INV RELATED, NEW YORK, NY, 25.2% OWNERSHIP, START: 5/20/2013, 5 HRS/MONTH, 1 HR DURING TRADING, FAMILY OWNED HOLDING COMPANY FOR INVESTMENTS.; STRYKER & BROWN, INV RELATED, 10% OWNER, START: 11/1/1996, 0 HOURS, NO DUTIES. CO-TRUSTEE FOR DAUTHER'S TRUST (2), INV RELATED, NEW YORK, NY, START: 11/14/2012, 1 HR/MONTH, 1 HR DURING TRADING.; CO-TRUSTEE FOR NEPHEW, INV RELATED, NEW YORK, NY, START: 12/04/2012, 1 HR/MONTH, 1 HR DURING TRADING.; CO-TRUSTEE FOR NIECE, INV RELATED, NEW YORK, NY, START: 12/03/2012, 1 HR/MONTH, 1 HR DURING TRADING.; TRUSTEE FOR MOTHER, INVT RELATED, NEW YORK, NY, START DATE 9/10/2024, 2.5 HRS PER MONTH AND DURING TRADING.; TRUSTEE FOR GRANDDAUGHTER'S TRUST; INV RELATED; NEW YORK, NY; START DATE 7/24/1981; 1 HRS PER MONTH; 0 HRS DURING TRADING.
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®
NoneExperience
Past
July 27, 2021 - October 28, 2025
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW YORK, NY
Past
July 17, 2012 - October 28, 2025
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
June 1, 2009 - August 16, 2012
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
February 22, 1995 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 26, 1979 - March 16, 1995
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
January 18, 1978 - November 26, 1979
LOEB PARTNERS
BD
CRD#: 7534
Past
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
BD
CRD#: 7502
Past
May 4, 1973 - January 4, 1977
LOEB, RHOADES & CO. INC.
BD
CRD#: 525
Past
October 12, 1972 - April 23, 1973
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
Past
June 17, 1971 - November 6, 1972
DEVON SECURITIES
BD
CRD#: 1000001
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".
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING
CRD#: 19616 / SEC#: 801-37967, 8-37180
RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 2/3/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 6/7/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 6/14/1971
Registered Representative ExaminationCurrent Firm
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING
CRD#: 19616 / SEC#: 801-37967, 8-37180
RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
19,017
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
