CB
Cynthia G. Banks
WEALTHSPIRE RETIREMENT ADVISORY
Gilbert, AZ
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CRD#: 5112678
CB
Professional summary
Cynthia Gayle Banks, who also goes by Cynthia Gayle Pierce, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Gilbert, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Aliso Viejo, California.
Cynthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Cynthia has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cynthia Gayle Pierce
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.
Name: NFP POSITION: Vice President, Retirement Advisor NATURE: Investment advisory services through an independent outside RIA INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 03/10/2025 ADDRESS: 120 Vantis, suite 400, Aliso Viejo CA 92656, United States DESCRIPTION: Prospect for new retirement plan advisory services clients Name: DTM SALOON INC DBA EMPTY POCKETS SALOON POSITION: Owner NATURE: hospitality INVESTMENT RELATED: No # OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/19/2022 ADDRESS: 2210 Navajo Blvd, Holbrook AZ 86025, United States DESCRIPTION: Oversight of operations, hiring, marketing, compliance Cynthia Banks is a Board of Directors Members with Phoenix Indian Center located at 4041 N. Central Ave, Building B, Phoenix, AZ 85012. This role is not investment-related; Nonprofit that serves as a gateway for American Indians and others seeking assistance with job readiness and employment services, prevention services, youth programs, and language and culture revitalization. Started 10/2025. Approximate number of hours per month devoted: 4. NAME: PHOENIX INDIAN CENTER POSITION: Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No # OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/17/2025 ADDRESS: 4041 N. Central Ave. Building B, Phoenix AZ 85012, United States DESCRIPTION: Board members are responsible for fiduciary oversight, including reviewing budgets and financial reports to ensure responsible stewardship of resources. They uphold governance standards by adhering to the Center's bylaws and participating actively in meetings and committees. As representatives of the community, they advocate for the Center's mission, build relationships, and help secure resources through fundraising and partnerships. Additionally, they support executive leadership and monitor the effectiveness and transparency of organizational operations to ensure accountability and impact.
CRS (Client Relationship Summary) - RIA
Click below to view Cynthia Gayle Banks'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
April 10, 2025 - Present
WEALTHSPIRE RETIREMENT ADVISORY
RIA
CRD#: 121254
Gilbert, AZ
Current
August 5, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 120 Vantis Suite 400, Aliso Viejo, CA 92656BD
CRD#: 42046
Aliso Viejo, CA
Past
March 11, 2009 - November 4, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
PHOENIX, AZ
Past
March 11, 2009 - September 14, 2022
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
PHOENIX, AZ
Past
June 17, 2008 - February 19, 2009
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
GILBERT, AZ
Past
January 30, 2008 - May 5, 2008
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)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.Highlighted states indicate IAR registrations
IAR
Arizona(4/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
