Cindy L. Ash

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CRD#: 6425580

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.

Cindy Lynn Ash, who also goes by Cindy Ash, Cindy Lynn Brown, Cindy Lynn Brown, was a registered financial professional .

Cindy is a previously registered financial professional and started their career in finance in 2016. Cindy had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cindy Ash | Cindy Lynn Brown | Cindy Lynn Brown

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 11, 2021 - August 3, 2021

WEALTHPLANS, LLC

RIA

CRD#: 311560

FREDERICK, MD

Past

October 4, 2018 - January 14, 2021

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Frederick, MD

Past

October 4, 2018 - January 14, 2021

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

FREDERICK, MD

Past

September 13, 2017 - May 21, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

FREDERICK, MD

Past

June 23, 2017 - May 21, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

FREDERICK, MD

Past

August 1, 2016 - December 13, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

FREDERICK, MD

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".

WEALTHPLANS, LLC

CRD#: 311560 / SEC#: 801-119949

RIA

Registered Investment Advisory firm - (12/10/2020 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

IAR

Series 66

Date: 9/11/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/21/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/1/2016

General Securities Representative Examination

Current Firm

WEALTHPLANS, LLC

CRD#: 311560 / SEC#: 801-119949

RIA

Registered Investment Advisory firm - (12/10/2020 Approved)

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Contact information

Main Address

5970 Frederick Crossing Lane Suite 201, Frederick, MD 21704

Mailing Address

Phone number

(301) 695-2800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTHPLANS DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	237
AUM (Assets Under Management)	$ 173,120,755

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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Advisor Monitoring

Firm Stability Insights

Cindy L. Ash

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

WEALTHPLANS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/11/2017

SIE

Date: 5/21/2018

Series 7

Date: 8/1/2016

Current Firm

WEALTHPLANS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHPLANS, LLC

TRUST BUT VERIFY

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